motivic unity in selected character pieces by johannes brahms
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Louisiana State UniversityLSU Digital Commons
LSU Historical Dissertations and Theses Graduate School
1978
Motivic Unity in Selected Character Pieces byJohannes Brahms.Janet Sitges MartinLouisiana State University and Agricultural & Mechanical College
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Recommended CitationMartin, Janet Sitges, "Motivic Unity in Selected Character Pieces by Johannes Brahms." (1978). LSU Historical Dissertations and Theses.8163.https://digitalcommons.lsu.edu/gradschool_disstheses/8163
MOTIVIC UNITY IN SELECTED CHARACTER PIECES
BY JOHANNES BRAHMS
A Monograph
Submitted to the Graduate Faculty of the Louisiana State University and
Agricultural and Mechanical College in partial fulfillment of the
requirements for the degree of Doctor of Musical Arts
in
The School of Music
byJanet Sitges Martin
B.M., Florida State University, 1955 M.A., Mills College, 1956
May, 1978
UMI Number: DP69550
All rights reserved
INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted.
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a note will indicate the deletion.
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ACKNOWLEDGEMENTS
I wish to express special appreciation to several people who
have helped to make this study possible„
First and foremost among them is Dr„ Jack E. Guerry, my major
professor, who initiated the idea for this work, and whose erudite
yet practical assistance and unstinting generosity with his time and
effort have made this research project, in particular, and my years at
the LSU School of Music, in general, both pleasurable and productive.
Thanks are due to professors Paul Louis Abel, Milton Hallman,VKenneth Klaus, and Daniel Sher, the other members of my Committee, for
valuable suggestions and assistance0
Invaluable assistance in typing and proofreading this study
was given by Mrs. Marcslline St. Germain, secretary of the Loyola
College of Music, whose pride in her work would have been difficult
indeed to duplicate elsewhere.
Thanks are due to my students William McGreal and Mark
Ouchida, and especially to my daughter, Laura, tor graciously
assisting in the preparation and assembling of the manuscript.
Finally, I wish to thank Dr. Joe B. Buttram, former dean of
the Loyola College of Music, for making it possible for me to pursue
the doctorate at the LSU School of Music. Without his encouragement
and assistance none of my work at LSU would have been possible.
ii
TABLE OF CONTENTS
ACKNOWLEDGEMENTS * ..... . . . . ...............
LIST OF EXAMPLES. ..... . . . . ........
ABSTRACT o . a o . . o . o o o . » o . * o . . . . a . . o a a o o . o . o o .
Chapter
I.
II.
INTRODUCTION ............. . . .......
CAPRICCIO IN G MINOR, OP. 116 NO. 3.,.. « # * 0 0 0 « 9 0 0 0 * 0 0 » 0
1
9
III. CAPRICCIO IN D MINOR, OP. 116 NO. 7 21
IV. INTERMEZZO IN E-FLAT MAJOR, OP. 117 NO. l o . o . o o . a o o . a o . 36
v e INTERMEZZO IN B-FLAT MINOR, OP. 117 NO. 2* " 0 0 . 0 0 0 0 0 0 . . . . o 53
VI. INTERMEZZO IN A MINOR, OP. 118 NO. 1... 0 0 0 . 0 0 . . 0 0 0 0 . 0 * . 76
VII. INTERMEZZO IN A MAJOR, OP. 118 NO. 2... 86
VIII. INTERMEZZO IN B MINOR, OP. 119 NO. 1... o * . . . O O . 0 0 . 0 0 0 0 . 100
IX. INTERMEZZO IN C MAJOR, OP. 119 NO. 3000 0 0 . . 0 0 0 0 0 . 0 . . 0 0 * 111
x c CONCLUSIONS AND RECOMMENDATIONS....... 123
BIBLIOGRAPHY o . . « . e . > o o . . * a . . » . * . o . o . o Q . . o e o . 4 0 0 4 0 . . . . . . . 0 . 0 0 0 . 128VITA.. O O O . . . O . O . . . Q . O . 132
LIST OF EXAMPLES
Chapter II - Op. 116 No, 3Example Page
1 Measure 1-2 102 5-8 113 9-12 124 13-14 135 21-29 146 29-34 157 35-36 168a 39 178b 41-42 178c 55-58 188d 59-60 188e 64-70 189a 83-84 199b 91 199c 99-104...................................... 19
Chapter III - Op. 116 No. 71 1-10 222 21-28 24
iv
Example3a Measure 1-2 3b 21-224a 21-244b 29-325a 45-465b 1-25c 21
5d 296 47-537 47-578 71-739a 739b 1-39c 9-109d 21-239e 34-359f 47-48
10 74-7511 76-92
Chapter IV - Op. 117 No.1 1-42 4-6
Example Page3 Measure 7-8 394 10-12 395a 12 405b 1 405c 4 . ,....... 406 13-14 417 17-20 438 21-24 449a 1-4 459b 5-6 459c 21-22 45
10a 26 4610b 28 4610c 1 4611 36-38 4712 38-45 4813 46-53 4914 51-57 57
Chapter V - Op. 117 No. 2
1 1-2 542 2-6 553a 1-2 55
vi
Example Page3b Measure 7 554 8-9 565 16-17 586 1-21 587 22-26 608 26-29 609a 29-31 619b 36-38 61
10 39-43 6311 42-46 6312 46-48 6613 48-51 6914 51-53 6915 67-71 7116 72-76 7217 77-85 74
Chapter V - Op. 118 No. 11 1-8 772 8-10 783 1-8 794 12-13 79
vii
Example Page5 Measure 16-18 806 18-22 817 22-24 828 28-31 839a 12 849b 31-33 84
10 33-35 84
Chapter VI - Op. 118 No, 21 16-25 872 25-30 893 31-34 904 34-38 915 38-46 926 47-48 937 49-52 938a 2-4 948b 28-29 949 49-56 9510a 57-60 9610b 50-52 96
vlii
Example Page11a Measure 1-4 98lib 16-17 9811c 24-29 98lid 30-32 98lie 49-52 98Ilf 57-58 98llg 73-77 98
Chapter VII - Op. 119 No, 11 1-8 1012 9-16 1023 17-20 1034 20-30 1055 31-37 1076 37-43 1087 43-47 109
Chapter VII - Op. 119 No. 21 1-3 1122 4-5 1123 6-12 1134 23-25 114
ix
Example Page5 Measure 25-29 *..... 1156 29-32 1167 33-37 1168 37-40 1189 41-48 119
10 49-56 12011 56-70 122
x
ABSTRACT
The piano music of Johannes Brahms has been far less com
pletely investigated than the orchestral, chamber, concerto, and
vocal literature. With the exception of a valuable doctoral disser
tation by Bernice Feinstein entitled "The Seven Capriccios by
Johannes Brahms," the literature which covers the piano music only
cursorily examines and briefly discusses most of the works. In the
vast majority of sources, the piano music is divided into three
groups: the early works which are diffuse in form and orchestral in
concept; the virtuoso middle-period works in variation-form or other
older forms; and the character pieces of the late period. The
character pieces of opp. 76, 79, 116, 117, 118, and 119 are dealt
with as a homogeneous group which are fully mature in style and
concept and reveal no growth process within the group; they are also
dispensed with as simple song-forms, vastly oversimplifying these
masterfully conceived art-works.
A more thorough investigation of the piano music is a
necessary requirement for a sensitive and intelligent performance,
because there is a very intimate relationship between the structural
aspects of the music and the expressive content. Such an investiga
tion seems essential also to a thorough understanding of Brahms'
compositional art in general; this void in our corpus of knowledge
regarding a major composer deserves to be filled.
The twofold purpose of this monograph was: first, to discover
the degree and kind of motivic unity displayed in the character
pieces, and second, to determine what changes in the technique of
motivic unification take place within the late works from Op* 76
through Op. 119.As a prelude to this study all of the works in these opera
were analyzed motivically and placed into one of the following four
categories: 1) Category I, works whose thematic material is
entirely derived from the first theme; 2) Category II, works
whose second themes are derived from some element in Section I;
3) Category III, works which do not fall into either of the fore
going categories but which are unified in some other fashion; and
4) Category IV, works whose second themes are not derived from Section I. As a result of this portion of the investigation it was
determined that over half of the character pieces (17) fell into Cate
gory I, the category of the most completely unified works, and that all but five of the thirty works fell into Categories I, II or III, all of which indicate a strong degree of motivic unity. Additionally,
it was determined that this high degree of unity is far more charac
teristic of the later works than the earlier works within the opera
under examination, all of opp. 118 and 119 falling in Category I.
Eight representative works were then chosen for a more
detailed motivic analysis to comprise the body of this work, These
analyses resulted in the following conclusions: 1) a large number
of works were unified by a germ-cell which generated all of the
thematic material therein; 2) a smaller number of works were unified
by the use of a single theme which was accorded various treatments
but always maintained its melodic identity; and 3) monothematic
treatment occurs more frequently among the earlier works examined, while the germ-cell principle occurs more frequently in the later
works.
CHAPTER I
INTRODUCTION
The character pieces by Johannes Brahms are among the most
important contributions to the pianist's repertoire, for they repre
sent the ideal medium for the most expressive aspects of the 'pianist's
art, and they are beautifully designed examples of the most sophisti
cated state of the composer's art.
Much has been written about the meticulous care with which
Brahms constructed his music and the devotion to classical concepts
of clarity of design he exhibited in his works. But primarily these
writings have been devoted to his large works, especially those
which employ classical sonata form or older forms such as fugue,
chaconne, or variations. Writings concerned with piano literature
deal in an extremely superficial manner with the construction of the
small character pieces, labeling the majority of them simply as song-
form. The sources most widely accepted as the best studies on1 2 Brahms' piano music are those by Max Kahlbeck and Edwin Evans.
^Max Kahlbeck, Johannes Brahms, 4 Vols. (Berlin: Deutsche Brahms-Gesellschaft, 1904-1914).
2Edwin Evans, Handbook to the Pianoforte Works of Johannes 3rahms (London: Wm. Reeves, 1936).
1
2Their works are multi-volume writings which touch on every known work
by Brahmso Indeed, each of these men did gather together a vast
amount of hitherto scattered or unknown information, and the impor
tance of these pioneer efforts to examine Brahms' piano music should
not be underestimated. Nevertheless, these works are woefully inade
quate in their treatment of structure, dealing in only a few para
graphs with the broad outlines of the song-form, which is at the
foundation of most of the character pieces.
The character pieces exhibit a wealth of subtlety and sophis
tication of structural detail} which would merit a serious and
exhaustive study if only to increase the general body of knowledge
about one of the great composers of history. (They are just as
meticulously constructed and reveal as much of the creative originality
of their composer as do the larger, more frequently examined works
for which Brahms is justly acclaimed.) But such a study is essential
for more specific reasons than mere enrichment, as will be outlined
below.
The genre known as "character piece," while not a nineteenth-
century creation, experienced its greatest flowering in that century;
indeed, it represented one of the central moving forces of nineteenth-
century musical art--the expression of mood. In this respect, Brahms
was dealing with a very contemporary notion when he wrote in this
genre, and while he never deserted his classical proclivity for beauty
of design, he did direct this element towards the accomplishment of a
3romantic art form. One can still admire his craftsmanship for its
own sake9 but much is lost if one does not also see how design serves
the expressive intent of his music. It is not far-fetched to say
that a pianist cannot hope to be a true interpreter of Brahms without
a thorough perception of design and how it serves the expressive
goals of the music.
One recent and excellent work has addressed itself to one
aspect of this area of study--the unpublished Ed.D. dissertation by3Bernice Feinstein entitled "The Seven Capriccios of Johannes Brahms*'
Feinstein examines the seven Capriccios from several important
structural standpoints. Her analyses are thorough and enlightening.
However, the delimitation of her topic (seven pieces related more by
title than by structural similarity), leaves considerable room for
further study.
It is the purpose of this monograph to examine and describe
the various means by which Brahms unified his character pieces moti-
vically. Categories of Brahms1 motivic technique will be determined
and explained; all of the pieces from opp. 76, 79, 116, 117, 118, and
119 will be placed in the appropriate categories; and representative
works from these opera will be analyzed for motivic structure. Con
clusions as to the chronological development of his style will be
drawn from the results of this categorization.
Bernice Feinstein, "The Seven Capriccios of Johannes Brahms: Op. 76 Nos. 1, 2, 5, 8 and Op. 116 Nos. 1, 3, 1" (unpublished Ed.D. dissertation, Columbia University, 1972).
4General Observations Concerning the Nature
of the Character Piece by Brahms
The external features of the pieces in the opera in question
can be described for the most part in terms of the definitions of
that form given by the foremost authorities on the subject. According
to all the sources consulted, the major researchers in the history of
the character piece are Martha Vidor,^ Erwin B o d k y , ^ and Willi Kahl.^
Mildred Ellis has examined these scholars' works and supplied trans
lations for important excerpts in her unpublished Ph.D. dissertation,
"The French Piano Character Piece of the Nineteenth and Early Twenti
eth Centuries.Another important source of information is Willi
Apel's article on the character piece in The Harvard Dictionary of
Music.®
^Martha Vidor, "Zur Begriffsbestimmung des musikalischen Charakterstuckes mit besonderer Berucksichtigung des Charakterstiickes fur Klavier" (unpublished Ph.D. dissertation, University of Leipzig, 1924).
^Erwin Bodky, Das Charakterstuck (Cologne: Moseler Verlag Wolfenbuttel, 1933).
Sjilli Kahl, The Character Piece (New York: Leeds Music Corp.1961) .
^Mildred Katharine Ellis, "The French Piano Character Piece of the Nineteenth and Early Twentieth Centuries" (unpublished Ph.D. dissertation, Indiana University, 1969).
SWilli Apel, The Harvard Dictionary of Music, 2nd edition (Cambridge, Massachusetts: The Belknap Press of Harvard University Press, 197 0).
5In accordance with the generally accepted definition of the
genre, the pieces under examination have titles (intermezzo,
capriccio, ballade, rhapsody, romance) which give some indication of
mood; they have no connection with the cyclical composite sonata form,
using primarily a more or less freely adapted song-form or rondo, but
occasionally sonata-allegro form; and they are of an intensely personal nature, portraying subjective feelings and emotions, while avoiding
programmatic implications0
The single song-form or rondo framework on which most nineteenth-
century character pieces are constructed assumes greater significance
in Brahms' hands, not by means of extended length, but by means of a
richly woven overlay of melodic, harmonic, and rhythmic inter
relationships, which impart an extraordinary sense of multi-faceted
unity to these brief works»
After examining all of the pieces in the opera under dis
cussion for the ways in which they were unified motivically, this
writer has concluded that they could be divided into four categories
of motivic treatment, A definition of these categories and a chart
of the opus numbers which fall into each category follow*
Category I consists of those pieces in which the entire
fabric is drawn from the material of Section I, These pieces create
a very homogeneous effect.Category II consists of those pieces in which fragments of
the first theme in Section I reappear in all parts of the piece.
6These pieces, while having contrasting themes, still maintain a high
degree of unity through the use of certain motivic threads throughout
the fabric.
Category III consists of those pieces which have less con
ventional but still definable thematic connections between sections.
These pieces cannot be placed in either of the above categories, yet
they achieve unity in their own individual ways.
Category IV consists of those pieces in which there is no
thematic connection between the first and second sections. The notable
feature here is the small number of pieces in the category--only five.
Cate;gory I Category II
Op . 76 No. 4 Op. 76 No. 7Op. 76 No. 8 Op . 79 No. 1Op . 116 No. 1 Op . 118 No. 4O p . 116 No. 2 Op. 118 No, 5Op. 116 No. 3 Op. 118 No. 6Op. 116 No. 4Op. 116 No. 5 Category IIIop. 116 No. 7Op. 117 No. 1 Op. 76 No, 1Op . 117 No. 2 Op, 76 No. 2Op . 118 No. 1 O p . 79 No. 2Op. 118 No. 2Op. 118 No. 3 Categorv IVOp. 119 No. 1Op. 119 No. 2 Op. 76 No. 3Op. 119 No. 3 Op. 76 No. 5op. 119 No. 4 Op. 76 No. 6
Op. 116 No. 6Op. 117 No. 3
Eight works from Category I have been chosen for examination
in this paper. They represent what this writer considers to be the
7finest and most illustrative examples of Brahms' approach to the
creation of an entire composition from a single motive. The works
to be examined are the following:
Capriccio in G minor, Op. 116 No. 3Capriccio in D minor, Op. 116 No. 7Intermezzo in Eb major, Op. 117 No. 1Intermezzo in Bb minor, Op. 117 No. 2Intermezzo in A minor, Op. 118 No. 1Intermezzo in A major, Op. 118 No. 2Intermezzo in B minor. Op. 119 No. 1Intermezzo in C major, Op. 119 No. 3
Each of these works will be analyzed from the standpoint of
motivic structure., The particular technique by which a work is
derived from its generative motive will be discussed, and other para
meters of unity which are affected by the motivic treatment will be
indicated when applicable.
The choice of works was limited to Category I because that
category clearly is most representative of Brahms’ compositional
technique, containing as it does over half of his character pieces.
It should be noted that certain works within Category I were excluded
because of features which make them inappropriate for examination in
this context. Such a work is the Rhapsody in Eb major, Op. 119 NOo 4
whose large scope and brilliant character make it atypical of Brahms'
intimate and poetic approach to the character piece. Another such
work is the Ballade in G minor, Op. 118 No, 3, which is constructed
from a single motive, but in a manner which lacks the kind of organic
arowth and variety that characterizes many other works. This writer
8believes that a well-rounded view of Brahms' style of motivic unification can be gained from the eight works included herein<,
CHAPTER II
CAPRICCIO IN G MINOR, OPUS 116 NO. 3
Formal Structure
Section I - Aa - mm. 1-8Ab - nrnio 9-12Aa - mm o 13-20AbT - mm. 21-28
Codetta - mm o 29-34
Section II - Ba - mm. 35-47Bb - !Lli.lL . 48-61Ba - UlUi g 62-71
Section I - Aa _ mm. 72-79Ab - ram. 80-83Aa - mm. 84-91Ab - mm. 92-99
Codetta - mm. 100-105
This Capriccio is in 2/2 meter and carries the tempo marking
allegro passionato,, The piece is cast in a large tripartite structure,
in which both Section I and Section II have smaller subdivisions, as
can be seen in the chart above.
Theme Aa contains two important motives set into four roughly
parallel two-measure phrases <, The first important motive consists of
the two half-note G's in the soprano voice of measure 1. The second
motive, which completes the two-measure phrase, consists of three
quarter notes in the soprano voice— the rhythm is the important
element, for the notes change at each occurrence. Below motive 1,
the alto voice contains a very important descending half-diminished
10seventh chord which combines with motive 1 in such an intimate
manner that the two together must be taken to be the main theme of
Section I. Measures 1-2 contain a widely arpeggiated accompaniment
figure with an inner melody which moves in contrary motion to the
quarter notes of motive 20 The next two measures (3-4) serve as a
kind of answer to the first two; the rhythmic and textural formats
are the same, but the melodic contours are lower-pitched, and the
cadential chords VII^/V to V simulate the effect of an authentic
cadence in contrast to the earlier cadential chords I to V?. (The
tonic chord appears only once in the entire section, in a very weak
position, while the dominant chord occupies a central position rein
forced by a dominant pedal points)
A llegro passionato • r —-9 r"
Ex, 1 - Theme Aa, two main motives bracketed, and inner melody circled - mm. 1-2.
The third and fourth phrases, measures 5-8, are approximately
parallel to the first two, with only minor differences: motive 2
appears in the inner voice of the arpeggiated left hand--now with
quarter stems--while its parallel voice appears in its place in the
11soprano with the melodic peak of theme Aa, and the arpeggiation
appears in inversion
EXo 2 - Theme Aa, third and fourth phrases - mm. 5-8.
Theme Ab, in measures 9-12, is a four-measure interlude, which
consists of two permutations of motives from theme Aa0 The first is
the eighth-note broken-chord figure which initially accompanied
motive 1 in the alto voice and which is now doubled in the alto and
bass. The chord itself is different, as is its particular interval-
lic formation, and it both descends and ascends, but its derivation
is still quite obvious. The second permutation consists of a trans-' 1 1 hformation of motive 1, o o , to o ** J . The notes are E-flat and
D rather than a single note as before. But the relationship between
the figure c> J and the figure J . . Js becomes clearer as measure 9 is repeated sequentially first on the notes F and E (measure 11) then
on the single note G (measure 12), at which point the rhythmic figure
J J returns, the melodic figure of a repeated note returns, and
the alto motive eliminates its ascending form while regaining, one
12note at a time through three repetitions of the pattern, the original
notes of the alto which accompanied motive 1 in measure 1,
X ; molto legato
Ex, 3 - Theme Ab - Permutations of motive 1 and its accompanying voice - mm* 9-12,
These four measures have tremendous thrust to the return of
theme Aa, The sequential movement upward of the chord formation, the
temporary shift away from the exclusively downward arpeggiation and
the two-half-note pattern, followed by a dramatic return in measure
12 to those original patterns, give the return of theme Aa extraordi
nary power.The return at measure 13 contains alterations which contribute
further to the increased passionato effect achieved here. The two
half-note G's are merged into a single whole-note G to enhance the
thrust of an augmentation into quarter notes of the alto broken-chord
figure. At the same time the original eighth-note version of this
broken-chord figure appears in the bass voice, filling in the space
which formerly was vacant in that voice in measure 10 The remainder
of this section is identical to its earlier counterpart, measures
2- 8 .
13
Ex. 4 - Theme Aa - mm. 13-14
Section Ab' enters at measure 21, this time a step lower on
D. The rhythmic and textural patterns remain the same, but the
sequence moves downward rather than upward. The sequence moves from
D to D-flat to Co At this point, measure 24, the arpeggiation returns
, as in measure 12. But the musical occurrence which occupied
only one measure before now is expanded to four-and-a-half measures.
The major event is a climbing chromatic line in half notes which
begins with three C's and proceeds with enormous force towards its
goal, G= The arpeggiation outlines increasingly larger and larger
chord formations as the chromatic line pushes closer to the G. As
this line gathers momentum, our expectation of G becomes powerful;
but Brahms cuts off the line precisely at the crucial point, F#, and
suddenly suspends his listeners in the limbo of a full two beats of
silence. Only after these tense two beats does G finally arrive,
and then only in the context of a subdominant triad rather than the
much-expected tonic triad.
to an exclusively downward direction and the pattern to
14
Ex. 5 - Theme Ab ' - mm. 21-29.
The subdominant harmony in measure 29 is the beginning of
a short but powerful codetta which borrows and recasts ideas from
theme Aa„ The most prominent borrowed idea is the eighth-note
figure G, E-flat, C, B-flat, A in the alto voice of measure 1 which
accompanies motive 1. The first two notes are telescoped to occur
simultaneously, and all are treated in augmentation, now
appearing as half notes. Motive 1, the two half-note G s, is
also extended by augmentation to become two whole-note G's. The left
hand arpeggiation is more sparse and angular in shape and consists
of triplet quarters, a slowing down of pace in keeping with its
15proximity to the cadence. (See Ex„ 6 below.)
With an inspired stroke, Brahms maintains a second classifi
cation harmonization of these two measures (IV, VII^/V), saving first
classification harmonization for an answering phrase created from a
sequential repetition— D , B-flat, A, G— of the previous line
E-flat, C, B-flat, A. This sequential repetition occurs in octaves
in the left hand while the right hand picks up the angular, arpeggi-
ated triplet quarters. The listener has been awaiting a G in a tonic
setting for many measures; the G which ends the bass line just quoted
continues to avoid such a resolution, for it appears as a highly
dissonant tonic anticipation in a VII sonority.1
~nr zrr/-y7 m m xel xEx. 6 - Codetta - mm. 29-34.Theme Ba of Section II begins quietly and slightly slower (un
poco meno Allegro) in the key of E-flat major. It represents a
marked contrast in mood, style, texture, and rhythmic activity. Yets
■ This writer rejects the alternative analysis of G as the consonance with two dominant suspensions above it on the grounds thata) there is no aural shift from dominant to tonic harmony at that point, and b) it is in keeping with the masterfully planned five- measure delay of tonic resolution that none but the last G represents complete resolution.
16of its three motivic components, two are derived from the first two
measures of the piece, binding the whole of Section II intimately
to Section I. Motive 1 of theme Aa, the two-half-note G's, still
appears in the soprano voice of theme Ba, though this time as the
third of the E-flat major tonic triad. At the same time motive 2 of
theme Aa appears in octaves in the left hand, this time in triplet
quarter notes (introduced in the codetta just seen). The third motive
present in this section is born partly of Brahms' love of cross
rhythmso In measure 35 a compound division of the half-note unit is
established with the appearance of motive 2. Motive 3, a melodic
skip up and a repeated note in the rhythm J J O , gives us a
simple subdivision of the half-note unit. A constant interchange
between compound and simple subdivision of the half note is maintained
throughout Section II, sometimes a juxtaposition, sometimes a super
position, resulting in a two-against-three rhythm characteristic of
the style of Brahms.
Ex. 7 - Theme Ba - The three motives comprising all of Section II - mm. 35-36.
17Section II's subdivision into themes Ba, Bb, and Ba are
defined by a repeat bar after the first theme Ba, a modulation to G
major at theme Bb, and a return to theme Ba in its proper key0 This
return remains exact for two-and-a-half measures before proceeding in
similar but abbreviated form to a four-measure cadential figure which
presents the three motives of this section in distilled and rhythmi
cally augmented form. A measure-by-measure description of this
section, however, would belabor the point needlessly„ One can cast
a brief glimpse at measures 35 through 71 and see that scarcely a
single note, other than chord fillings, cannot be accounted for as a
part of the three motives described above. These motives are all
accorded such contrapuntal treatments as inversion, sequence, imitation,
and augmentation; and they continually appear in various simultaneous
combinations.. This writer is reminded forcefully of the Sinfonia in
F Tninor by Bach, in which the listener is treated exclusively to
three subjects in ever-changing voice combinations— a process which
finds an exact parallel here. An example of each of these contra
puntal treatments is illustrated below in lieu of a more detailed
analys is„
* ii'm- ac-«-n m.. . ■— t ■—----/
® f• . * — .J * * i r »■> * . —■ ■ ■ f... 1 ^ 1 i...... M ' *
a) m. 39 b) mm. 41-42
18
i----- A.------- A _ a ± ic) mm. 55-58
d im .
d) mm. 59-60
e) mm. 64-70EXo 8 - Contrapuntal treatment of the motive in Section II,
a) m. 39 - all three motives simultaneously, and motive 2 in inversion against its regular form;
b) mm. 41-42 - motive 2 repeated sequentially, inverted, and placed against a duple division rhythm derived from motive 3;
c) mm. 55-58 - sequence on the rhythm / <7 in each hand, imitation between hands, then a sequence of just ^ jL-* *
d) mm. 59-60 - augmentation of the previous half-note figure, Ab - G, to whole notes; free augmentation of motive 2 into & J J and its inverted form against its regular form in the new rhythm as well as in even quarters in m. 60, tenor;
e) mm. 64-70 - all 3 motives at once, motive 3 in augmentation, and motive 2 in augmentation.
19The return of Section I in measure 72 is exact in almost all
respects. The few differences are designed to heighten the tension at
climaxes (as at measure 83 where extra rhythmic activity and more pulse
on the fourth quarter note add to the tumultuous second appearance of
theme Aa), or in passages needing more thrust towards a goal (as in
measures 7 9-82 and 91-98, where the range of the arpeggios is increased
and contrary motion is used in place of parallel motion for textural variety and heightened dissonant effects). The codetta takes on an
added measure of its earlier "passionato" character through the use
of slower values (quarters) in powerful block chords in place of the
former angular yet more forward-moving triplet arpeggios.
91
V TTXT.
c) codetta - mm. 99-104Ex. 9 - Section I, recapitulation - examples of differences
designed to heighten tension.
20The external evidence of motivic one-ness in this piece is
plainly obvious; the fabric of the whole piece is clearly woven from
two main motives of Section I and a third motive in Section II, But
one must look beyond this merely thematic connection to what must be
considered the moving force which animates this piece. There is no
doubt in this writer's mind that this factor is the constant presence
of half-note pacing, even when motive 1 itself is not strongly in
evidence--of an unavoidable and ubiquitous sense of pulse on beats
1 and 3 regardless of melodic content--which points to the half
note rhythm of motive 1 as the heart and soul of the whole work,
Brahms has used the germ-cell principle here to create a kind
of unity far more profound in its effect than mere thematic links
could provide.
CHAPTER III
CAPRICCIO IN D MINOR, OPUS 116 NO. 7
Formal Structure
Section I - A mm. 1-10 A 1 - mm. 11-20
Section II - Ba - mm. 21-28Bb - mm. 29-46
Transition - mm. 47-61Section I - A - mm. 62-75Coda - mm0 76-92
This Capriccio begins in 2/4, moves to 6/8, and ends in 3/8.
Its tempo marking is allegro agitato. It is cast in the convention
al tripartite form, as shown in the chart above, but has an unusually
large and self-contained transition section.
Theme A of Section I has two distinctive musical elements in
it: 1) a melodic line that consists of several two-note phrases and
a cadential arpeggio figure built from the outline of a diminishedy | 1 Nseventh chord, and 2) a snapping rhythm * * * » which alternates
between the hands and which also frequently outlines a diminished-
seventh chord. The left hand version of this latter figure is a
free inversion of the right hand figuration (occasionally exact in
version) .
21
22
Ex. 1 - Theme A - main theme with its two main elements - mm, l-10o
There is a stretto built into these ten measures: measures
1-2 present a four-beat idea with two parts, a two-note phrase which
steps down and another two—note phrase which skips down, in measures
3-4 the idea is repeated and we expect this pattern to continue.
Measures 5-6, however, break the pattern and consist instead of two
downward skipping phrases, a device which shortens the time between
skipping phrases to one measure instead of two. The rhythm is
introduced in measure 7; the right hand contains the pattern
while the left hand contains 0 . In measure 8 this dotted
J ^0 0. *
23pattern replaces the original two-beat pattern J P r and now gives
us downward skipping phrases only one beat apart„ Beginning in
measure 5, each of the two-note phrases begins a scale step lower
than the last one. This descending scale contributes, as might be
expected, to a drive to the dominant of our tonic key, A. At meas
ures 9-10 where Section I reaches its cadence, the melodic line,
doubled in alternating octaves in the left hand, consists of a
rhythmic augmentation of the broken diminished-seventh chord, which
appears in the left hand of measure 1 (C#, E, G, B-flat), and a
transposition of the last three notes of the opening melodic motive
(F, E, D, A in measures 1-2, B-flat, A, E in measure 10).
Theme A is repeated in measures 11-20, with slightly new
treatment. It is like a variation on a theme. Instead of *• * * £
one note of the diminished-seventh chord is omitted and the rhythmic
figure becomes $ m i! Measure 17 does not have the held-back
quality of its counterpart, measure 7, because the bass moves
directly into the pattern * * • ' ' - - * formerly withheld until measure| p q8, and the right hand eliminates the long-held pattern 0 of
measure 7, moving immediately into its version of the rhythm of meas- f—ure 8, '■y f f ^ 0 The only change in melody or harmony occurs in
the cadential figure, which outlines a descending rather than
ascending diminished-seventh chord, this time on VII^/V in the ap
proaching key of A minor, D#, F#, A, C.
24Section II contrasts with Section I in many ways, yet the
aural effect is that of subtly concealed similaritya The contrasts
are obvious: 1) there is a new meter (6/8), but it is heard as 6/4
beginning on the second eighth note of measure 21; 2) there is a long,
flowing melodic line which goes non-stop from measure 21 to measure
28 in smooth, unphrased, equal quarter notes.
j*.
EH
EXo 2 - Section II, theme Ba, with aurally perceived meter indicated - mm. 21-28.
But the points of resemblance are present also: 1) the
original accompaniment figure was a broken chord figure in consistent
sixteenths which went in one direction for half a measure and the
other direction for the other half a measure; likewise, the accompa
niment here in Section II is also a broken chord pattern in even
values (eighths instead of sixteenths) which goes in one direction
for half a measure (the audibly perceived measure of 6/4) and in the
25other direction for the other half; 2) there is subtle inversion-like
treatment to be noted in the predominant motion in Section XI from
major or minor triads to diminished triads as opposed to the pre
dominant motion from diminished triads to major or minor triads in
Section I (see Ex. 3 below); 3) a further link can be seen in the
similarity between the opening three notes of the themes in Sections
I and II, a 3-2-1 scale step pattern in a minor key (F, E, D in
Section I, C, B, A in Section II); 4) the same sort of melodic link
exists between the high points of the melodies in both sections
(B-flat, A, E in measure 10 and A, G#, D in measure 25).
Ex. 3 - The inversion of harmonic motion between Sections A and B - mm. 1-2 and mm. 21-22.
Section II is itself a small tripartite structure. Theme Bb
is cleverly derived from the last three notes of the melody in theme
Ba. In measure 28 theme Ba ends with quarter notes C, B, E. In
measure 29 theme Bb begins with the same three notes set in octaves.
The origin of this figure can be traced back to the beginning of a
four-phrase sequence (free but undoubtedly intentional) beginning in
a) mm. 1-2 b) mm. 21-22
measure 250 The melodic figure in this sequence, a step down fol
lowed by a skip (of various sizes) down, occupies the last half of
At the beginning of Section
Bb, C, B, E is the first motive of a two-motive phrase, F, E, E#
being the second. This two-motive phrase is repeated sequentially
a step higher, just as the two-motive phrase was at the beginning
of theme Ba.
P"
a) theme Ba - mm. 21-24
sem pre ben le g a to xostemito sempre
i) theme Bb - mm. 29-32
Ex. 4 - Sequential treatment of themes Ba and Bb, with notes of themes circled.
27Measure 33 is the beginning of another sequence which has the
effect of stretto. It contains only the second motive of the pre
vious phrase (G#, F-double sharp, G#0, accelerating the occurrence of
that motive to once every half measure (again, the audible 6/4 meas
ure) instead of every measure. Measure 35 breaks the pattern of the
melodic contour but maintains such a strong rhythmic and textural
identity with the preceding measures— indeed, providing such an in
dispensable climax for those measures— that one feels perfectly
familiar with the new contour, a descending line F, E, D#, D, C, B. It
should be noted that theme Bb has maintained the same accompaniment
pattern as was found in theme Ba.
At measure 37 a slightly altered version of theme Ba enters.
The melodic peak of this version is higher than the earlier one
reaches its cadence on an A minor tonic triad (A major in the second
(mm* 41-43), and harmonically it
nding) rather than the earlier V?. The last figure in the second
ending concludes with the notes , a major version
reminiscent of the opening of themes A, Ba and Bb.
rit. . s
a) cadence - mm. 45—46 b) theme A - mm. 1-2
28
sem vre ben le a a to
p --- "
c) theme Ba - m. 21 d) theme Bb - m. 29
Ex. 5 - Cadential figure at m. 45 and the opening figures of themes A, Ba, and Bba
There is a large and elaborate transition section which takes
us back to the recapitulation of Section I. It is cadenza-like in
style, moving in constant sixteenth notes which give the impression
of a single voice. It has triadic outlines as the sixteenths in
Section I have, but there are more dissonances which cause more step
wise motion and consequently a more melodic flavor than exists in the
earlier sectionThere is also an implied second voice which imitates
the melodic downward step of the initial motive in theme A.
y------------------------------------------ y----------
(continued on next page)
Throughout this paper, the following abbreviations for dissonances will be used in the musical examples: App. = appoggia-tura; PSR = suspension;0 = accented passing tone.
29
Ex. 6 - Transition melodic line, with inner voice circled mm0 47-53.
This two-note fragment dominates the entire transition
section, and is the basis for yet another stretto; the notes F
and E appear closer and closer together in measures 47-57 as the
rhythmic values of the notes are shortened and the length of time
between phrases decreases„
pz
I
(continued on next page)
30
Ex. 7 - Transition section, stretto involving the two-note phrase - mm. 47-57.
The F which has been drilled into the ear is then set into a
diminished-seventh chord (G# , B, D, F) which cascades downward for
three beats. Brahms reverses direction in measures 59-61 with an
arpeggiated diminished-seventh chord a half-step below (G, B-flat,
Or, E)o These two diminished-sevenths, of course, are the same two
which appear at the beginning of the piece, and they are a strident
and exciting announcement of the return to Section I in measure 62.
In looking back over the transition, one realizes more thoroughly
the significance of the big role assigned to the note F and to the
two-note phrase F, E. Brahms does in a melodic sense what Beethoven
did in a harmonic sense when he insistently repeated a V? for many
measures preceding a recapitulation. By sheer force of repecition
both composers create an urgent sense of anticipation for what fol
lows, holding back resolution until the listener's need for it is
at fever pitch. If the performer fails to impart this urgency at
this critical point, then he has failed to grasp the most exciting
31and essential musical utterance in the piece.
The recapitulation of Section I begins as an exact repetition
of the original, and even reaches its cadence in measure 71 as it had
in measure 10. But it is extended melodically by means of a sequence
on the last two notes, A, E. In measures 71-7 2 the phrase A, E is
repeated a step lower on G, D; in measures 7 2-73 it appears in the
tenor and in a composite of two voices in the right hand.
Ex. 8 - Melodic cadential extension of Section I - mm.71-73.
Measures 72-73 also contain an inner descending scale line
A, G, F, E, scale steps 5-4-3-2, which clearly define the direction
towards the tonic D, In measure 73 we find a figure which we have
seen repeatedly in various guises elsewhere in the piece - A, F, E;
In example 9it appears here telescoped thusly:
below one may examine this figure in its various contexts
JTi m
a) m. 73
c) mm. 9-10 d) mm. 21-23
32
e) mm. 34-35
1
f) mm. 47-48
Ex. 9 - Measure 73 and other measures in which this figureappears.
We expect a resolution to a tonic triad in measure 74; in
stead there is a fortissimo repetition of the figure A, F, E, set in
thick chords two octaves higher. The rhythm here is deliberately
ambiguous, leaving the listener in a state of suspension as he awaits
the inevitable arrival of the tonic.
Ex. 10 - Final cadence at mm. 74-75.
33A tempestuous coda commences at measure 76; it presents the
material of Section I in a highly-charged and truncated version which
gathers momentum by means of various stretto devices all the way to
the end of the piece. Again Brahms has used a cadence to anticipate
what will come next— the notes F, E, which are so prominent in the
last two phrases of the cadence preceding the coda, are the first two
notes of the coda. There is a tremendous increase in momentum as the
meter changes to a fast triple which practically equates one whole
measure with one quarter note of the previous section. Other alter
ations are the absence of sixteenth motion, the telescoping of the
broken diminished-sevenths into block chords, the addition of a power
ful D pedal point, and the change of accentuation and rhythmic shape
at measures 82-83, where two bars of 3/8 are forced into one bar of
3/4. These two measures are repeated sequentially a scale step higher
in measures 84-85, and another scale step higher in measures 86-87.
At this point, the pace is quickened yet again by the elimination of
reiteration of the eighth-note pattern. The piece concludes with
four massively resounding D major chords--a Picardy third cadence.
of the subject A further switch in meter occurs
the quarter note from the pattern J /Q J and by the lengthened
34
•y'-7 —n. * d c
i__ b e n m a r c .
____s.p ii't f s rm p r tt j i ^ "
...... m - ...........ffr—-r-
Ex o 11 - Coda - (Mo 76-92.
There are many common denominators that bind this
piece into a tightly knit unit, many deliberately similar tech
niques used in various parts of the piece, but the most pervasive
one is the presence of the descending melodic second. ThisJ, .interval is at the core of theme A ( 9 0]_- theme Ba
, theme Bb the
transitucn
of Section T
. the cadence of the recapitulationg s r j s r ' . . . , ,.ar.d the coda It
is revealing to note that these descending seconds are given extra
prominence at major cadence points and major climaxes, and that the
final eight measures before the end are occupied exclusively with
35this interval, One can say of this piece, as of several others, that
the unifying principle is a germ-cell from which all of its themes
are constructed.
t
CHAPTER IV
INTERMEZZO IN E FLAT, OPUS 117 NO. 1
Formal Structure
Section I - A - mm. 1-8A' "" mm o 9-16
Transition - mm. 16-20Section II - B - mm. 21-28
B ' - mm. 29-37Section I - A 1 - mm. 45-57
This piece is a gentle lullaby in a rocking 6/8 meter, with
the tempo marking andante moderato. It was referred to by Brahms as
"the cradle song of my grief,and indeed, captures the heartbreak
expressed in the Scottish lullaby by Herder whose first two lines
are quoted at the beginning. Theme A is basically a descending
scalar idea, with a single ascending triadic figure finishing the
scale. Buried in this line is the seed for the main melodic idea of
Section II. The scalar element, motive 1, and the smaller element
which generates theme B, motive 2, are indicated in Ex. 1 below.
^Karl Geiringer, Brahms, His Life and Works (New York: Doubleday, 1961), p. 221.
36
37
Ex. 1 - Section I, theme A, motives 1 and 2„
Going to the next phrase of theme A, measures 5-6, one finds
motive 2 in retrograde form more prominently located.
Ex. 2 - Section I, theme A, second phrase, motive 2 in retrograde - mm. 5-6.
The melody in measures 1-4 is accompanied by a gently
persistent pedal point figure which consists of an E-flat and almost
consistently a G in several voices which surround the melody in the
rhythm ✓ * J * .2 An early clue to the lullaby-like
The fact that the static tonic harmony in this phrase precludes any dissonant properties of this pedal point is incidental; the pedal point is present in almost every measure of the piece, and has that aural effect even when technically not dissonant.
38immobility, which is central to this work, is the curiously static
tonic anacrusis moving across the bar-line to a tonic strong beat.
element in the bass in octaves. This melody is obviously a version
of the first two phrases: it has the upbeat eighth of phrase 1,
almost the same melodic contour as phrase 2 (differing only in the
last two notes), and a strongly similar initial interval in which one
less, this fourth phrase has some striking points of contrast with
the previous phrases. The first and most obvious difference is the
added thickness of texture created by the deeper register and the
octave doubling; the second is the fact that this phrase is the most
forceful and obvious (actually almost the only) departure from the
deliberately quiet and static retention of tonic harmony in the entire
section; the third is the elimination of the tonic pedal which is
present in the previous three phrases, and the addition of a soprano
melody which moves in nearly exact canonic imitation of the bass,
differing only in its rhythm and in the insertion of one extra note.
Notice also the continued presence of motive 2, bracketed in Ex. 3
below.
Phrase 4 of Section I, measures 7-8, places the melodic
can hardly miss the T,tonal answer" implication—
initially, answered by in measures 6-7. Neverthe-
39
Ex. 3 - Section I, theme A, phrase 4, canonic imitation between bass and soprano - mm. 7-8.
After the increased sense of activity created by this bit of
contrapuntal writing, the serenity of the opening measures returns
and theme A 1 begins in measure 9. For two measures the repetition is
exact; in measure 10 the bass C indicates the beginning of a new
harmonic progression which replaces the static tonic harmony heard
previously.
~dc tvs
Exo 4 - Section I, theme A', new harmonic progression in mm. 10-12 0
40This harmonic motion represents a crest in activity, is
marked crescendo, and leads to the melodic high point of the section
in measures 12-13. Again Brahms marks the peak with a bit of added
contrapuntal interest. The very end of the melodic line in measure
12 is an incorporation of the rhythm found in two other
spots (measures 4 and 5) and a free diminution of the initial five
notes of theme A.
4±=
a) m. 12 b) m.-l notes c) m. 4-rhythm
Ex. 5 - Measure 12, theme A f , and the two measures from which it is derived, measures 1 and 4.
Overlapping this ending, the first phrase of theme A re
enters in a higher voice, with certain alterations. The rhythm is
transformed into a line of steady eighth notes, and the last three
notes are E-flat, C, B-flat instead of E-flat, G, B-flat» In meas
ure 13 the same melody enters in free canonic imitation in a middle
voice without the opening anacrusis, with its rhythmic accentuation
reversed (the previously strong-beat E-flat is now on the third
eighth of the beat), and with the sixteenth-note rhythm occurring
one eighth later than before.
41
Ex, 6 - Canonic imitation in mm. 13-14 of theme A.
Adding further complexity to these same two measures, the
former pedal point E-flat in the rhythm J J in 6/8 meter
changes its rhythm to J J J , producing the effect of hemiola.
In summaryj the original statement of theme A consists of two four-
measure units, each divided into two two-measure phrases. Of these
phrases, only the third is derived from motive 2 rather than motive
1. Theme A 1, which begins at measure 9, is also divided into two
four-measure units, this time with all of its two-measure phrases
being derived from motive 10
There are some comparisons to be made from Brahms’ presen
tation of these two related but not identical eight-measure themes.
In the first eight measures, a studied effort at creating a static
quality is broken only at measures 7-8, which contain the only area
of harmonic motion, the only spot not containing the ever-present
pedal point, and the sole example of contrapuntal activity. In the
second eight-measure theme, the deliberately static effect recommences
42at measure 9, but the previous effecc of increased activity takes
place sooner and over a larger period of time. Harmonic motion
begins in the second phrase, measures 11-12, and contrapuntal activity
and rhythmic variety take place in the third phrase, measures 13-14.
A partial but not complete return to a static state occurs in the
last phrase, where the continued presence of hemiola prevents perfect
quietude— appropriate for the ending of a phrase which leads to
new section whose mood of brooding somberness is in contrast to this
section.
The transition section begins on the last two sixteenths of
measure 16, in the startlingly somber subdominant key of A-flat
minor. The note E-flat has a new role as the fifth of the new tonic
triad, yet it remains as the dominant pedal point of this section.
The melodic material of measures 1-2 is presented in two two-measure
phrases, but several features combine to give it transitional
quality: the unsettled feeling imparted by the emphasis on the
last four notes of the natural minor scale (E-flat, F-flat, G-flat,
A-flat); the change in texture resulting from the solitary open
octaves; and the omission of the pedal point at the cadence in
measure 20.
43
nt. molto
=S)
Ex. 7 - Transition - mm. 17-20.
These features prepare us for the arrival of a new section,
yet there is a surprise in store— the unexpected key of E-flat
minor. Section II begins at measure 21 on a 1^ in E-flat minor,
which follows in an unexpected yet perfectly logical sequence from
the last chord of the transition--an A-flat minor tonic triad which
serves as the subdominant in the new key. All of the external
characteristics of this section are in contrast to the previous sec
tion. The key, of course, is different. The meter is still 6/8,i j b j j sbut the rhythm no longer rocks along in the pastoral 0 *' + ;
the left hand pattern 0 0 * * 7 maintains the aural effect of 6/8,
but it has forward motion during the first two eighths and none inI mI_the third eighth--the reverse of the earlier pattern 0 + . The
right hand contains a three-quarter-note rhythm which begins on the
second eighth note, yet does not produce the effect of hemiola. The
melodic material consists of a three-note phrase repeated in alter
nating octave segments, as opposed to the long, smooth scalar quality
44of theme A.
p p sempre ma molto espressivo
Ex. 8 - Section II - melodic material - mm. 21-24.
Yet for all its contrasts, Section II haunts the listener
with vague traces of earlier phrases which defy easy identification.
Indeed, closer examination reveals subtle relationships. The first
noticeable similarity is the continued presence of a pedal point—
a dominant pedal which falls on both strong beats in 6/8, in broken
rather than solid octaves. The next feature, very subtle but quite
pervasive, is the shape of the three-quarter-note phrase. Two con
secutive phrases, measures 21-22, are shaped up a second and down a
third— I This figure, theme B, is a
melodic inversion of motive 2 from theme A,
45Andante moderato
^ r ‘f ■ ' ^ m . --__)— . *r
-y ■p dotce
= a__----- --- »------- ______ ----------- 1
♦ --r--— * " ■ ----- r--r—9
Y -9-'
a) mm. 1-4
b) mm. 5-6
p p s e m p r c m a m o l to e s j jr e s s i i
c) mm. 21-22Ex. 9 - Motive 2 as it appears in theme A and theme B.
This motive, in one form or another, can be found in nearly
every phrase of Section I„ As it progresses through Section II, the
contour of the motive alters somewhat, but the first two phrases are
enough to establish the relationship, and the rhythm remains the
same. Dispelling any doubt about the relationship of Sections I and II, measures 26 and 28 contain cadences whose melodic and rhythmic material are clearly derived from measure 10 Measure 26 contains the
three-note descending motive plus the 6/8 pattern * * * + from
measure 1, while measure 28 contains the same three-note motive and
rhythm (lengthened by a dot) in two-voice imitation.
46
p p
a) m. 26r t f . _
PP
b) m. 28
Andante moderatoi
j j d o ) c e
c) m. 1Ex. 10 - Theme B's cadences and measure 1, from which they
are derived.
These eight measures, then, are actually related both
rhythmically and melodically to both motives 1 and 2 from Section I.
They are followed by nine more measures which follow the same scheme,
differing only in some subtle harmonic changes which enrich the dark
and somber tone of the section. The only notable difference occurs
at the cadence in measures 36-37. These two measures are a rhythmic
augmentation of the cadence in measure 28 which concludes the first
eight measures of Section II and contain motive 1 and its
47accompanying pedal point in invertible counterpoint. The eighths of
motive 1 become quarters, and one measure is stretched to two. Where
formerly there was a block-chord pattern in the rhythm * ** J ^ accompanying motive 1, there is now a block-chord pattern of three
quarter notes accompanying two repetitions of motive 1, resulting in
two-against-three rhythm. (See Ex. 11 below.)
An especially interesting feature at this point is a bit of
harmonic sleight-of-hand. These two measures outline a B-flat
dominant-seventh chord, then an E-flat dominant-seventh chord. One
expects a resolution to A-flat major or minor, or at least a deceptive
resolution allowing the most active tones in the dominant-seventh to
resolve normally. But the seventh resolves downward through a passing
tone to another chord member, and becomes, without any motion, an
E-flat major tonic triad at the recapitulation of Section I. The
utterly static quality of this total avoidance of dominant feeling in
E-flat is but another musical means used by Brahms to produce the
illusion of a cradle which is rocked back and forth in one place.
col.L£ &
Ex. 11 - Final cadence of Section II leading to Section I - mm. 36-38.
48
The recapitulation of Section I is like a variation on the
original theme; it follows the original design closely but changes
some of the details of the pattern. The first four measures, meas
ures 38-41, are an identical repeat of measures 1-4 except for the
octave doubling of the melody and alternation of the pedal point
(also doubled in octaves) between low and high registers. The next
four measures are also virtually identical to measures 5-8 except
for an elaborate filling out in sixteenth notes of the alto voice.
Un poco piii Andante £ —
■ f T J iS&T-
-----« -------j-S f - = ------^ ------—MU-------- -— ■ — ' i*|
> . 9 .
Ex. 12 - Recapitulation of Section I - mm. 38-46.
49Measures 46-49 differ from measures 9-12 only in the substi
tution of V7/lII going to III for V7/V going to V, arriving, as before,
on a tonic triad. Measures 50-51 are a melodically more florid and
rhythmically more complex version of measures 13-14, but they remain
in strict canon. After this section of considerably heightened com
plexity, measure 52, and half of measure 53, return to a near-exact
duplication of measures 15-16.
dolce
Xrit.
d i m .dolce
A
5M
Ex. 13 - Recapitulation of Section I, with harmonic changes noted and canon bracketed - mm, 46-54.
50At this point there is an abrupt rhythmic pause, creating a
feeling of having been stopped just short of the goal on a very weakJ iV". j.part of a weak beat which needs to go on, / / ? r s and on aI ( td ' " I
dominant-seventh chord which needs resolution,, There is a strong
sense of expectation and anticipation for harmonic, rhythmic, and
melodic resolution,, What follows (see Ex. 14) is a characteristic
example of Brahms’ predilection for resolving active tones to their
proper places but in unexpected harmonic settings, or denying normal
resolution altogether: F and D in both resolve properly to E-flat,
but in the context of a favorite Brahms retrogression, V to IV, and
the seventh of is denied any kind of normal resolution,, Rhythmi
cally we are thrown off-balance by the extremely weak position of
and the absence of sound on the beginning of the following dotted
quarter„ We are denied assistance in relocating a feeling of the
beat by Brahms' re-entrance, rinforzando, on the sixth eighth note
of the measure and by his persistent emphasis on the third and sixth
eighth notes of the following measure. Melodically, the last note of
the phrase, F, has a strong tendency to resolve downwards to E-flat;
this tendency is denied, and it leaps upward instead to C. Finally
in measure 55 the feminine cadence with the rhythmic pause just seen
in measure 53 is reiterated, but with a different resolution,, This
time the pause ends on a legitimate anacrusis anticipation on the
last sixteenth note of the measure, which leads us at last to the
tonic triad which has been avoided for so long.
51
rit.
dim.
express rii.
rf j - r4a t m .
/7\=s±
/T\
c£af
Ex0 14 - Final cadence, measures 51-57.
This work is a tour de force of maximum unity in the guise
of apparent variety. Its middle section is such a cleverly dis
guised recasting of one three-note motive, , and one
rhythmic pattern, s e + * * <• that one must search carefully to
discover why the effect of unity is so intense. This search reveals,
of course, that every measure of Section II is derived from one or
another of these two figures.
Perhaps a greater coup, however, is accomplished by the
constant maintenance of a single, all-important musical character,
the quietly stationary mood of a lullaby. There are three very
important means by which Brahms achieves this profoundly pervasive
mood— first, an almost ever-present pedal point; second, a
52harmonic scheme which moves in an extremely slow harmonic rhythm
that remains for many measures on immobile tonic harmony, and which
has relatively few of the rich altered and chromatic harmonies
normally so prevalent in his style; and third, an almost total lack
of strong melodic dissonance„ The last of these is of prime
importance and serves more than any other feature to illustrate the
deliberateness and consciousness of Brahms' effort0 Among virtually
all of the other works examined by this writer, melodic dissonance
has been a key feature of the style; among many of these other works,
a specific melodic dissonance has been the kernel which generates
all or most of the themes in a work and provides the most important
thread of continuity therein« By contrast, the notable lack of such
melodic dissonance in this work highlights the static rocking effect
which is quintessentially appropriate for the intended mood of this
worko It can be said, then, that while a high degree of thematic
unity is present, the more intangible feature— cradle song character— is the most important source of unity in this piece, and is
the motivating factor for most of the compositional procedures
utilized.
CHAPTER V
INTERMEZZO IN B FLAT MINOR, OP. 117 NO. 2
Formal Structure
Section I - Exposition - Theme A - mm. 1-22Theme B - mm. 22-38
Section II - Development - mm. 38-51
Section III - Recapitulation - Theme A - mm. 51-72Theme B - mm0 72-85
This Intermezzo is in 3/8 meter and carries the marking
andante non troppo e con molta espressione. It departs from the
song-form which is found in the majority of Brahms' character pieces,
being cast in sonata-allegro form. It is a monothematic sonata-
allegro, derived altogether from a single melodic idea, yet with
sufficient stylistic and tonal definition of thematic groups to pro
vide all of the contrasts necessary for this form. It is arguable
that this work could be viewed as some other type of binary (A - B -
transition - A - B) or ternary (A - B - transition - A - coda)
structure. In the opinion of this writer, however, two factors out
weigh all other considerations in determining the form— first, the
inescapably developmental character of measures 38-51, and second,
the conclusion of the piece with its second thematic group in the
tonic major.
53
54Theme A of the Exposition consists of motives which contain
pairs of two-note phrases which are incorporated in a continuously
running line of thirty-second notes and are marked with slurs. The
thirty-second-note figure in which the melody is set consists of a
downward octave filled in with a fifth that is preceded by
tinues during the eighth rest m the melody is the inversion of this
figure— an upward octave filled in by a fourth and preceded by a
prise the melody are, of course, the upper or lower neighbor and the
next note; it is they which account for most of the parameters of
unity to be found in this work.
measures 2-6. A two-phrase motive in measures 2-3, F to A-flat and
A-flat to G-flat, forms the crest of the nine-measure period; in
measures 3-4 they are repeated a step lower almost exactly, D-flat to
G-flat and G-flat to F . A third repetition commences another step
lower in measures 4-5, but this time is extended by another two-note
an upper neighbor The bass figure which con-
lower neighbor, The two-note phrases which com-
p d o lc e j
coi
Ex. 1 - Theme A - nun. 1-2.
A particularly effective sequential treatment appears in
55phrase, C to F, F to E-flat and D-flat to C. (See circled notes
Ex. 2.) This is followed in measures 5-6 by an exact repetition of
the last two phrases, resulting in a gently wistful echo effect„
Ex „ 2 - Theme A, sequential treatment, mm. 2-6.
At the cadence of this period, the pace is altered as the
rhythm of the melody changes from the short-long pattern of the two-
note phrases to evenly—spaced single eighth notes which now occur on
all three beats in the measure.
p dolce
col dala) mm. 1-2 b) m * ^
Ex. 3 - Cadential rhythm compared to the rhythm of mm. 1-6.
56The final note, D-flat, is held over an arpeggiated figure
(smooth and sotto voce), which descends for one measure then ascends
for another measure. These features — the eighth-note motion and
the arpeggiation under the last note— are characteristic of several
other cadences in the piece.
Ex. 4 - Cadence of first period, with dissonance marked - mm. 8-10.
Up until this point the overall effect is one of smooth con
sonance. The first note of each two-note phrase, occurring on the
last thirty-second in each group of four, falls neatly into the har
monic scheme of that group and does not function as a dissonant
member of the following group of four in which the second note of the
phrase occurs. This role is destined to change, however, and the
process of this change is intimately involved in the underlying plan
of unity in this piece; it will be examined throughout the course of
this analysis.Our first inkling of the two-note phrase's potential for dis
sonance occurs in the cadence pictured in the example above. Brahms
has spelled the chord structure here in a mystifying way— as a
57seemingly misspelled IV7, E-flat, G-flat, A, D-flat. There is nopossible triadic or seventh-chord structure which could be spelled
this way. The problem can be solved, however, if one views this4sonority as VII 3"A, C, E-flat, G-flat— with a D-flat as a disson
ance which delays the arrival of and resolves to the note Co This
cadence does indeed have the active properties associated with dis
sonance, and the prominently placed D-flat does become the first note
of the following two-note phrase, D-flat to C. (See Ex. 4.)
The second period begins in measure 9, an exact repetition of
the first for a few measures, and only different in details of har
mony through measure 16„ But the eighth notes in measure 16 move in
triadic outline instead of the previous chromatic motion which led so
quietly to the last note, and they do not lead to a cadence. They
remain active and lead to an appoggiatura in measure 17 whose reso
lution lasts for only one sixteenth note before moving immediately
back into thematic material instead of to a cadence. It is signifi
cant that this dissonance, B-flat to A-flat, is merely a rhythmically
elongated version of the two-note phrases that follow, and in fact,
but for octave displacement, is the first in a series of such phrases
which outline a descending diatonic line in the current key of
D-flat major.
58
Ex „ 5 - The non-cadential eighths and the appoggiatura dissonance in mm. 16-17„
The thematic material which follows the appoggiatura is the
last half of what would have been a third parallel period different
from the other two only in small harmonic details.
Ex. 6 - The half-period in mm. 17-22 as compared with the melodic lines or periods 1 and 2,
59The cadence which concludes this half-period is set in the
same rhythmic and melodic style as the cadence which ended period 1,
but this time with no mysteries. It outlines a Neapolitan 6th chord
in the key of D-flat major, in which will appear the forthcoming
theme B, and includes a built-in ritard in the form of triplet six
teenths at the end of the thirty-second-note arpeggio accompaniment—
an appropriate cadential slackening of pace at this major structural
point.
Theme B is derived melodically directly from theme A. Only
the rhythm is altered. The earlier dotted rhythm now becomes aI— *--j | (S I? " |A ^series of even sixteenth notes, ✓ /' * j instead of w * *
The melodic contour and most of the intervals are also the same.
Hence, the aural effect is one of thematic augmentation. A bit of
two-voice counterpoint comprises the left-hand accompaniment, with
the ascending two-note phrase from the left hand of theme A treated
imitatively. The macro-rhythm of all the voices combined is that of
continuous sixteenth notes, simply an augmentation of the original
continuous thirty-second notes. The primary difference between the
melody as it appears in theme A and in theme B is that the original
thirty-second note accompaniment is no longer present; instead the
theme is set in quasi-chorale style.
Ex„ 7 - Theme B - mm. 22-26.
Theme B is not entirely a repetition of theme A; in measure
25 the rhythm is maintained but the melodic contour begins to
change, and the cadence in measure 26 is new. The next four measures,
27-30, consist of new material and a new texture. The two upper
voices in parallel thirds move sequentially in a pattern of disson
ances in eighth notes over a bass voice also in eighths. The two
middle voices in parallel octaves move in winding, richly chromatic
sixteenths.
Ex. 8 - Theme B, changing material in measures 26-29,
61The next eight measures, 30-37, constitute a repetition of
the last eight, with only harmonic differences„ It is noteworthy
that the cadence at measure 30 contains a V in B-flat minor which
resolves deceptively back to D-flat major, while the cadence at
measure 38 contains a V to I in D-flat major which moves deceptively
back to B-flat minor. Neither cadence gives an indication of the
next key!
Ex. 9 - The two deceptively resolving cadences in theme B - mm. 29-31 and 36-38.
The external differences between the two-note phrase as it
appears in theme B and earlier in theme A are of no great importance„
What is really significant, however, is the subtle change in the
treatment of dissonance in the phrase. In theme B, the first note
of each phrase is far more likely to be a dissonant member of its
rhythmic unit. The dissonances are relatively mild in nature, yet
they receive a little more emphasis than they would ordinarily, be
cause the rhythm of the bass line is so constructed as to cause the
notes to fall frequently on the off-beat where most of the melodic
p d o lc ep do les
62dissonances are. In other words, the treatment of the two-note
phrase has become somewhat more dissonant than was the case in theme A.
Measure 38 is the start of the development section. It is
undeniably developmental in nature; it creates a sense of tension
and activity, using fragmentation of theme A in a, constantly shifting
and sketchily defined series of tonalities. It begins in B-flat
minor, with the notes and rhythm of the first motive of theme A in
open octaves in three voices, lacking the thirty-second note figur
ation until after the initial two-phrase statement. Following this
octave statement, a four-measure stretto commences. The thirty-
second-note accompaniment figure from theme A, with its two-note
phrase still indicated by a slur, is used in an imitative pattern,
each hand having a full two-phrase motive in turn. The imitation
begins in the left hand in measure 39 in its original ascending
form— in fact, almost the same notes, E, F, A, F in place of E, F,
B-flat, F. The right hand follows in measure 40 with its original
descending motive beginning on F, E instead of D-flat, C. Then the
stretto tightens with the left hand motive entering on the second
beat of the right hand motive. This overlapping pattern is repeated
sequentially up a step in measure 41. The stretto tightens yet
again in measure 42, where the right hand reiterates a single beat
of the motive— B-flat, A-flat, F, A-flat— with only a sixteenth
rest between beats instead of the eighth rest found previously in
measures 38-40. At the same time, the rising pattern in the left
hand is lengthened to three beats, adding further to the sense of
propulsion created by this telescoping of musical events.
The tonal center at this point is deliberately without defi
nition. The controlling factor in the harmonic scheme here is an
ascending chromatic line found in the bass line, which moves at an
ever-increasing speed from great E in measure 39 to D-flat double
prime in measure 42. The shifting and ill-defined tonality, the
increasingly tight stretto treatment, and the insistently driving
chromatic line combine to give this section tremendous momentum. It
should be pointed out that this chromatic line is cast in the frame
work of a series of the ever-important two-note phrase— a new and
important role for that figure.
2Jk.
Ex. 10 - Chromatic inner bass line, Development section, mm. 39-43.
The crest of all this activity takes place in measure 43,
where the stretto dissolves into four measures of arpeggiation based
on the familiar thirty-second note figure, alternately three octaves
downward, then upward. This arpeggiation flows from the final
repetition of the three reiterated right hand figures in measure 42,
beginning with B-flat, A-flat0 Two measures outline a D-flat major-
minor seventh chord, while the next two measures outline a C major-
minor seventh chord. As was pointed out above, Brahms has carefully
avoided any feeling of a tonal center (in keeping with the develop
mental nature of this section), and these two seventh chords continue
to defy analysis within a key context. It is not the harmonic
structure but the increased significance of the two-note phrase which
is noteworthy here. The notes of the two-note phrase in measures
43-44 are B-flat, A-flat, and they are repeated sequentially down a
step on A-flat, G in measures 45-46. In these measures the two-note
phrase generates every beat of the figuration, but more importantly,
their increasingly dissonant nature is highlighted. Each of the first
notes of the two-note phrases is clearly dissonant within its har
monic setting, and this dissonant character is strengthened by the
static harmonies against which they stand out.
65
rff-V-u. ---— x __ __ ------------ 3 ■
' r ' . x1 !-y-.-., ... \
u 1 ‘■ 7 i
_ > — /
Ex. 11 - Dissolution cf the stretto into arpeggiation in which the two-note figure is clearly dissonant - mm. 42-46.
Beginning at the end of the last arpeggio in measure 46, a
series of events combine to give us a powerful rhythmic jolt: first,
the two-note phrase occurs one sixteenth-note earlier than antici
pated, placing the stress on the fourth sixteenth-note of the beat;
second, the rhythm of the two-note phrase becomes sixteenth-notes,
an augmentation of their former thirty-seccnd-note values; and
third, the unflagging thirty-second note figuration which has domi
nated this section abruptly ceases altogether. Nothing is left, then,
but the two-note phrase, the notes of which are now D-flat, Co These
two notes are higher members of the same harmonic structure heard in
the last arpeggio figure, and lend melodic crest value to the impor
tant rhythmic events just described„ But something of far greater
importance takes place here. Measures 47-48 represent a reduction
to its most distilled form of what is clearly the most important--
perhaps the only important element--in this piece, the two-note
phrase. This phrase appears, as in measures 39-42, first in the
66right hand in its original descending form, then in the left hand in
its original ascending form. The thirty-second note figuration is
telescoped into block structures appearing on the first note of each
two-note phrase. The transformation of these phrases into pure,
unadulterated dissonances is complete here. The dissonances are
sharp, acerbic, and set starkly alone for maximum impact.
p p
Ex. 12 - The two-note phrase in its most dissonant form - mm. 46-48.
There is still no discernible tonal center at this point.
The first two-note phrase in this section, in measure 38, consists
of the notes D-flat and C, and the rising sequential treatment of it
moves swiftly through a series of fleetingly suggested tonalities
until measures 46-47, where it arrives again at the notes D-flat and
C without having come any closer to identifying a key area. In meas
ures 46-48, however, the solution to the riddle of the key is slowly
unfolded, and the phrase D-flat and C plays a vital role in the
process. This phrase appears in the right hand three times in suc
cessively lower octaves, and its ascending left-hand counterpart
67appears twice on B, C, and— significantly— a third time on E, F.
The first pair of phrases (D-flat and C, right hand, and B and C,
left hand) in measures 46-47 is harmonized as part of a major-minor
seventh chord, with both phrases converging on the root, C. We
still do not know in what key context to analyze them. The second
pair of phrases, the same notes as the previous pair, are rehar
monized as part of a half-diminished seventh chord, again with both
phrases converging on the root, C. The third pair of phrases,
(D-flat and C, right hand, E and F, left hand), is harmonized as
part of a major-minor seventh on F , and the reason for the change of
notes in the last left hand phrase becomes clear. Brahms wants F,
the root of this chord, to be prominently placed in the bass, be
cause this chord is the one which finally defines the tonality. The
major-minor seventh chord on F is a V? in B-flat minor, the key of
the recapitulation.
We can now look back in retrospect at the harmonic structures
of measures 47-48 and see that the progression was II? with a raised
fourth scale step to II to V? in B-flat minor. At the same time we
can look still further back and see that the notes D-flat and C,
which begin and end this section, are an important part of a long-
range harmonic plan in which C is the dominant of the approaching
key, and D-fiat is a dissonant upper neighbor.
The last two-note phrase in the left hand in measure 48 moves
smoothly into a delicate and intricate two-measure section of thirty-
68second notes in both hands. For two measures the left hand arpeg
giation outlines the dominant harmony of the approaching tonic. The
right hand voice contains an inner melodic line which moves in
scalar fashion from D-flat and C triple prime down an octave to
D-flat and C double prime „ In effect, it reverses in two measures
the underlying line from the lower D-flat, C to the higher D-flat, C
which took from measures 38 to 49 to be accomplished. In addition,
it presents a version of the initial thirty-second note figure of
the piece with all the intervals filled in in step-wise manner.
(See Ex. 13.) As if to dispel any doubt about the central importance
of the melodic figure D-flat to C, this downward line contains a
rhythmic pause of two sixteenths immediately preceding the final
D-flat which sets the figure apart prominently and additionally high
lights yet another very important feature--this D-flat to C is the
very first two-note phrase in the piece. It not only serves a
crucial role in anchoring the shifting and unstable tonality of the
entire development section, but it also serves as a long-range,
deliberately-planned preparation for the return of the principal
melodic idea of the work. In this sense one is reminded of the very
similar treatment accorded the transition figure F, E, in the
Capriccio, Opus 116 No. 7; F and E are at the foundation of the
tonally unstable transition section and form an important link back
to the return of Section I, whose first notes are also F and E.
69
p p
Ex. 13 - Final cadence of the development section - mm. 48-51.
The final D-flat, C of the downward scale line is harmonized
with a VII7 in the now clearly defined key of the returning tonic,
B-flat minor, and the stage is set harmonically, melodically and
rhythmically for an exact recapitulation. This return takes place
in measure 51— but with a characteristic unwillingness on Brahms' part to give us what we have been prepared to expect. The two-note
figure is unexpectedly altered to D-flat, C-flat, and measures 51-53
take a brief turn towards the key of the subdominant, E-flat minor.
From that point on to measure 60 the repetition is exact, except for
an added scale line of thirty-seconds above the cadential arpeggio.
doles
Ex= 14 - Recapitulation and temporary turn to the subdominant key - mm. 51-53.
70Measures 60-71 are intended to correspond to the equivalent
measures in the exposition, measures 9-220 The rhythmic and melodic
format is the same, but these measures are developmental in character
in contrast to their earlier counterparts. The earlier measures
stay solidly in B-flat minor until they modulate in clear and unam
biguous style to D-flat major, the key of the forthcoming theme B;
these measures move immediately out of B-flat minor and commence a
sequence which travels swiftly through a series of ill-defined keys.
Measures 67-68 involve an extended version of the rhythmic format of
the cadence at measure 16, but they avoid its cadential feeling. They
comprise a major-minor seventh chord on B and move non-functionally
to a parallel passage of three measures which comprise another major-
minor seventh on F. These three measures, measures 69-71, regain
the cadential feeling of an approaching ending, and the chord struc
ture proves to be V7 in the delightfully fresh and unexpected key of
B-flat major, the parallel major of the tonic key and the key of the
recapitulation of theme B.
(continued on next page)
71
Ex. 15 - Non-functional seventh chords leading to the final cadence of theme A - mm. 67-71„
In some ways the harmonic process here is similar to that
found in measures 38-51— a circuitous but careful long-range plan
for arrival at the dominant of a key is involved, as well as a sur
prising turn towards a different though temporary tonic„ In both
places are found melodic elements from theme A to assist in accom
plishing their goals; here it is the upward leap of a fourth found
initially crossing the bar line from measure 1 to 2»
and the eighth note lines from both cadences in theme A a
Theme B of the Recapitulation, then, returns in B-flat major
in measure 72, maintaining the major mode while accomplishing a
return to the tonic B-flat. Rather than a full statement, however,
only coda-like fragments are presented. In measures 72-76 the first
motive of theme B, consisting of two downward two-note phrases, is
repeated sequentially in its original chorale style three times, but
the repetitions are separated, not merely by an eighth rest, but by
a measure-long melodic phrase in sixteenth notes, which consists of
72the upward two-note phrase found previously in the bass, followed by
a descending broken-chord figure0 The effect of this non-progressive
repeating of one motive, the longer space between motives, and the
non-continuousness caused by the insertion of the extra melodic
phrases is one of stationary hovering over one place. This feeling
is further highlighted by the continuous presence in the bass of a
dominant pedal point F decorated with its lower neighbor E— the
ascending two-note bass phrase which was previously treated in imi
tation in the lower two voices of theme B. There is a two-voice
texture in the bass here also, but the descending form of the two-
note phrase is used in the tenor in a kind of imitation in inversion.
Piu Adagio
i 1 j:
Ex. 16 - Recapitulation of theme B - mm. 72-76.
The measures in the example above move harmonically upward
in thirds from a B-flat major triad, to a D-flat major triad, and
finally to an F dominant-seventh. The major-minor ambiguity caused
by the alternation in these measures between D-natural and D-flat
finally ends in measure 77, where D-flat permanently supersedes
p-natural, and the key of B-flat minor is established. At this
73point the recapitulation becomes closer in design to its earlier
counterpart. The two-phrase motives are again spaced an eighth
apart, and the first two successive motives in theme B are approxi
mately imitated in measures 76-78. These are repeated sequentially
down a step in measures 78-80. The significant difference between
this version and that of the exposition is that no other intervals
are used but the major and minor seconds, ascending and descending.
Formerly theme B— as well as theme A from which it was derived—
was made up of two-note phrases in which the ascending or descending
second was the predominant but not the only interval used. The
exclusively step-wise motion here contributes to the feeling of
serenity, but it also reduces the music at a crucial pre-cadential
spot to the single generative source of the piece, the step-wise
two-note phrase. The lower voices discontinue their former inde
pendent imitative activity, and the tenor unobtrusively associates
itself with the "chorale" setting above it, leaving only the decor
ated dominant pedal point beneath it.
(continued on next page)
74
p prit. motto K
Ex. 17 - Recapitulation of theme B - mm. 77-85*
At measure 80 the melodic second gives way to intervals
that form triadic figures to provide a harmonically secure cadential
feeling. Measure 82 contains three quietly conclusive block chords
over the still-present dominant pedal point, and the tonic chord
seems imminent. Brahms has one last surprise for us, however, as
is his usual way when his cadential harmonies are so smoothly pre
dictable. The F pedal point, which has been present since measure
70, resolves as expected to the tonic B-flat in measure 83. How
ever, the final in measure 82 is suspended for a full two
beats into measure 83 over the tonic bass* The resolution to B-flat
of the soprano's suspension (C) is a full measure away in measure 84,
but it is anticipated on beat 3 of measure 83. Brahms has provided us
with our last poignant reminder of the descending second from which
this whole piece grows.
Clearly the melodic material of theme A has generated this
entire miniature sonata-allegro form, and many rhythmic settings of
75this material provide further threads of unity through the piece.
Economy of means is so stringently observed here that one is reminded
of the many Preludes by Bach and Chopin which involve exclusively
the working out of a single musical ideaa
Closer observation reveals that the two-note phrase which
underlies all of the melodic material does more than lend its
ubiquitous presence to the process of unification. The use of this
figure is a means by which Brahms has provided at least two other
parameters of unity— one is a long-range design involving in
creased dissonance to the emotional apex of the development in meas
ures 46-47, and the other is a means of providing in all parts of
the piece a kind of harmonic rudder for his deliberately evasive
harmonic language« These techniques, while not themselves classifi
able as motivic processes, are made possible solely by the carefully
designed presence of this melodic figure of paramount importance.
CHAPTER VI
INTERMEZZO IN A MINOR, OPUS 118 NO. 1
Formal Structure
Section I - mm0 1-10 Section II - mm. 11-30 Coda - mm. 31-41
This Intermezzo is in 4/4 meter, with a tempo marking of
allegro non assai, ma molto appassionato. Structurally it departs
from the normal ternary form, instead, falling into binary form. Con
sequently, one might term the piece monothematic in the same sense as
a suite movement by Bach.
The piece opens with the melodic element which constitutes
its main structural fiber and generates all of the secondary melodic
ideas therein. It is found in octaves in the upper voices of meas
ures 1-2, and will be referred to hereinafter as motive A. (See
Ex. I.) The most powerful feature of this motive is the strong
accented passing tone dissonance on the dotted half note. This dis
sonance is of central importance throughout the piece, and will
therefore be noted as it appears elsewhere. It is accompanied here
by an arpeggiated figure which travels upward, crossing paths with
the downward-moving motive A« These two measures are then repeated
sequentially a third lower in measures 3-40
76
77The next phrase, measures 5-8, begins as though it is about
to repeat the sequential pattern yet another third lower, but instead
we find an extended version of the first two phrases which contains
three prominent melodic dissonances. In effect, it is the dis
sonance which has been chosen for sequential treatment rather than
the entire melodic contour of the first phrase. Interestingly
enough, the initial quarter note F and the accented passing tones E,
D, and A are the notes which would have made up an exact sequential
repetition of the initial phrase.
espress
Ex. 1 - Accented passing tones in phrases 1-3 - mm. 1-8.
78Measures 8-10 consist of a tonic bass and a strongly disso
nant suspension of the V? above it, resolving weakly on beat 3 of
measure 8* Of the many places where this dissonance occurs, this one
is one of the most powerful. An inner voice in measure 8 also con
tains an inverted appoggiatura which delays the feeling of complete
resolution until the still weaker beat 4. Measures 9-10 are a
repetition of this cadence, doubled in length.
Ex. 2 - Final cadence of Section I - mm. 7-10.
It is interesting to note that while the key signature is A
minor and the first sonority is an A minor triad, there is no A minor
tonic feeling whatsoever. The section begins ambiguously, suggesting
F major before building a solid structure in C major. The skeletal
movement in the bass outlines a basic, decisive pattern in C major—
C, A, F, F-r , G, C. The faster harmonic rhythm in bars 5-8 gives a
stretto effect which contributes to the drive from IV^(F) to VII^/V(F#)
to V9(G) to 1(C) .
79
TJ------- jp + ar
Ex. 3 - Skeletal bass line - mm. 1-8.
Section II begins after the double bar and contains a state
ment of motive A in inversion, a process reminiscent of many suite
note of that inverted melodic figure in measure 12 is an arpeggiated
diminished-seventh chord, A, F#, D# , C, A, in the left hand. It is
repeated in imitative fashion in the right hand on the next half note,
then subsequently repeated sequentially twice more, each repetition
beginning a step higher in pitch but displaced to the octave below.
This arpeggiation figures prominently in the coda, providing an im
portant motivic link with that section.
Ex. 4 - Sequentially treated diminished-seventh chord -mm. 12-14.
movements by Bach— Falling from the final half
80
The left hand accompanies this sequence with broken chord seg
ments in contrary motion with the upper voice. They arrive at a half
cadence in measure 14 with VII'Vv over a dominant pedal which resolves
to V on the weak beat, a technique reminiscent of the cadence which ends
Section I, In measure 15 the pattern recommences a fifth lower, but
is only partially complete. Where three broken diminished-seventh
figures appeared in the right hand in measures 12-13, only two appear
in measures 16-17, at which point a new sequence is begun, one which
travels a long distance, is subjected to stretto, and has tremendous
"appassionato'1 impact. This sequence is actually composed of three
smaller sequences, all built over an ascending chromatic bass line in
half notes. These sequences are of vital importance, both structur
ally and interpretatively, for they highlight the structural basis of
the work (the strong melodic dissonance) and create with it the
emotional climax therein.The first small sequence repeats the two broken diminished-
sevenths of measures 16-17 in measures 17-18 a step higher, with a
broken seventh figure in the left hand in contrary motion with it.
Ex. 5 - First small sequence - mm. 16-18.
81The second small sequence, which continues over the climbing
chromatic bass, begins in measure 18 with a melodic inversion of the
opening bars of the accompaniment figure of measure 1,
(measure 18) , ' r (measure 1) , and ends with a rhythmic
diminution of the first three notes of motive A, (measurs
19) . This measure-and-a-haIf are then repeated sequentially a third
higher in measure 20, this time without rhythmic diminution, and
still continuing over the ever-climbing chromatic bass line0 The
broken seventh accompaniment which accompanied the first small
sequence expands its range to span the interval of a tenth during
measures 18-22.
Ex. 6 - Second small sequence - mm. 18-22.
The third sequence, another third higher in measures 22-24,
involves the use of only that final portion of the two previous
phrases which outlines motive A, dropping the first portion containing
the broken chord figure. In this final climactic statement of motive
A, all of the notes appear in their proper original rhythmic positions,
but inverted appoggiaturas are added between the notes, and the last
two notes with their accompanying appoggiatura are reiterated an
82octave lower.
Ex. 7 - Third small sequence, with thematic notes circled and dissonances labeled - mm. 22-24.
Measures 25-30 closely parallel measures 5-10, except that
they are in the key of A minor. It is curious to note that even the
big climax in measure 23 is still in the key of C. Brahms does not
reach the key of A minor conclusively until measure 26, two thirds of
the way through the piece. The section has a first and second ending—
the first with a decrease in rhythmic activity, probably to allow the
emotional pitch to ebb sufficiently to permit a second building towards
the climax. The second ending has an effective new twist. Instead of
repeating the VII to I harmony with the rhythmic elongation found in
the cadence of Section I, it is repeated exactly. Because we
have heard that cadence with rhythmic elongation three times already--
twice at the first double bar and once at the first ending of this
cadence— the effect of exact repetition is actually that of stretto.
83
Ex, 8 - Section II, first and second endings - mm. 28-31.
Measure 30 continues the feeling of stretto by reiterating
twice the final soprano A and the last two quarter notes of its
half notes assists further in creating the effect of a stepped-up
pace; where formerly the major pulse fell once per measure, on the
VII chord, there are now two major pulses in the measure. This
strettc moves us quickly to our destination in measure 31, on the
dramatically stark single note E, the dominant of our elusive tonic
key=>
drawn from elements in both Section I and Section II, Flowing from
the solitary E is an arpeggiated figure which is the inversion of
the broken chord pattern in measure 12, reiterated several times in
several octave segments.
accompanying inner voice The emphasis on the bass
This E ushers in a most effective coda, whose material is
84
Ex. 9 - The broken chord figure in m. 12, and the inverted form of the broken figure in m„ 3la
When the arpeggio reaches its highest point, it reverses
direction and takes the form of the broken chord pattern in measure
13— each four-note segment being a broken chord whose pitches are
a step higher than the previous segment but displaced an octave
lower. The left hand enters at the point where the right hand
changes direction, and parallels the left hand in measure 13 approxi
mately, but climbs in a more deliberate and extended way with
parallel triads moving up by step over a dominant pedal point
to assist in the push to the strong beat in measure 35„
Ex. 10 - The broken chord figures in mm. 33-35.
85The G and B-flat on the strong beat of measure 35 become
dissonant on the second eighth when the bass enters on A; they
resolve in the same measure to F# and A, leaving one with the same
kind of dissonance-resolution effect that has been prevalent through
out the piece„ The D major triad defined by the resolution becomes
the D minor triad which is the normal IV of our tonic A minor in
measure 36Q The note D in octaves in the right hand introduces one
last impassioned statement of motive A, in exact augmentation and
with an appropriately extended accompanying arpeggio.
The entire piece, then, is generated from motive A and its
accompanying figures, achieving the kind of cumulative unity which
one ordinarily associates with Baroque "continuous filament" types of
works— those without a contrasting second theme. This level of unity
is immediately apparent, requiring only cursory examination for recog
nition,, But perhaps the most interesting and effective level of unity
is achieved with the more subtle and pervasive presence of powerful
dissonances on long rhythmic values at all crucial points of the
piece. Such dissonances occur in motive A, at both cadences at double
bars, in most sequential sections, at all major climaxes, and at
several points in the coda. In this writer1s opinion, it is this
effect which is most responsible for the true sense of unity con
veyed by this piece.
CHAPTER VII
INTERMEZZO IN A MAJOR, OPUS 118 NO„ 2
Formal Structure
Section I - Theme AaAb
TransitionAa!Ab
Section II - Theme BaBbBaf
mm*nrniomm0i r a i o
ram. iraUo mm o mm.
1-1617-2425-3535-3839-4849-5657-6464-76
Section I - Theme AaAb
TransitionAa'Ab
mm. 76-84 mm a 84-92 mma 93-102 mm. 102-105 mm. 105-116
This Intermezzo in A major is set in a 3/4 meter which is
seldom altered and has a tempo indication of andante teneramente.
Theme Aa of Section I is eight measures long and consists of two
Measures
9-16 are virtually the same, differing only in a few subtle harmonic
details 0Theme Ab, beginning at measure 17, centers around the note
E, yet continues to maintain the feeling of an A tonality with a
dominant pedal and a dominant melodic focal point. There is the
aural illusion of a change in meter, giving the effect of two measures
of 3/4 plus one measure of 3/2. This four-measure phrase contains
three repetitions of a three-note motive, E, F#, E, the third state
ment being a widened upward interval with internal extension, E...BE.
The phrase is repeated in measure 21, this time a fourth higher,
86
87
with each rising interval larger than the last. The last and widest
leap \ to Fv— gives expressive emphasis to the most colorful
sonority of the section, VII^/V. The appoggiatura-like feeling of this interval has already appeared previously at another important
melodic crest (on the first phrase of theme Aa - C#, 13, A), and will
prove to be of crucial importance throughout this work„
Ex. 1 - First two phrases o£ theme Ab - mm, 16-25.
A transitional passage, beginning in measure 25, contains
two phrases, each of which derives in its own way from elements in
theme Aa. The first phrase, measures 25-30, alters the rhythmic
figure * * c- * + 'a from theme Aa by substituting a quarter note
for the second pair of eighth notes. What was rormerly two identi
cal one-measure rhythmic fragments now becomes a longer-lined
two-measure idea which includes a new three-note chromatic figure—
G#, A, A#, This two-measure motive is repeated sequentially,
extending the chromatic line by three more notes, B, B#, C#<, The
sequence begins again in measure 28, as though about to continue the
pattern. The two eighths and the next note in the chromatic line, D,
appear as expected, but now it becomes clear that the two previous
motives have served only to anticipate this poignant and climactic
restatement of the opening two measures of the piece. The two
eighths in measure 28 are not the original pitches of theme Aa, yet
they give the impression of exact repetition. One rhythm is differ
ent: instead of the familiar r * J J -i~2 U , C# is pushed back anI— '1 1 1 1eighth to become r* #' #) & „ The effect of deliberateness
and a broadening of pace is achieved by denying the tendency of the
two eighths to flow uninterruptedly to the half note* This effect
also serves to highlight the extremely important appoggiatura-like
leap up from B to A in measures 29-30— a clear link to similar
leaps we have already noted earlier.
(continued on next page)
89
Ex, 2 - Transition - ram. 25-30.
An interesting detail is the presence throughout the section
of a dominant pedal point E; it provides an anchor for the chromatic
line above, and it dramatizes the climactic A in measure 30 by
changing at that instant to D.
The second phrase of this transition, measures 31-34, is as
stationary as the first phrase was activea It employs the original
motive, both melodically and rhythmically, as an ostinato figure in
the bass. The soprano voice begins in measures 30-31 with the motive
A, G#, Fir in quarter notes, which is a rhythmically elongated version
of the original alto voice A, G#, F ir in the rhythm f * C . W e
might view this as a kind of free adaptation of invertible counter
point. The motive is repeated sequentially in a downward scale line
with the addition of the now-familiar anacrusis of two eighths. This
diatonic scale provides a balancing force for the chromatic line
which has just led upward to the climax. It is repeated in measures
33-34 with an inspired difference— the scale line is now in A
natural minor instead of A major.
90
e s p re s s .
Ex. 3 - The descending major and minor scale lines and bass ostinato - mm. 31-34.
In measures 34-36 there is a feeling of return to the materi
al of theme Aa— a feeling of having arrived back into a stable key
area, and a strong sense of thematic return. Nevertheless, the
return is not exact; the intervals of the opening figure of theme Aa
are in exact inversion and the pitches begin a fifth higher in order
to maintain the same harmonic scheme, I to IV. In addition, the
original accompaniment figure is replaced by a contrapuntal interplayl 'of figures derived in various ways from the figure * • O a In the
lowest voice of the right hand in measure 35, there is a rhythmically
displaced imitation of the notes and rhythm of the soprano figure.
In the bass voice, the same figure appears a half beat later, with
the melodic contour only slightly altered. There is the unmis-
takeable impression of a question-and-answer relationship between Git,
A, Fir and F# , A, E. The same alto and bass figures occur again in
measure 36. (See Ex. 4.)
91The second element of theme Aa appears in measures 36-37 for
the first time since its last appearance in measures 14-15. It is
somewhat altered in melodic contour, but maintains its former charac
teristic dotted rhythm and feminine phrase ending.
dolce i
Ex. 4 - Return of theme Aa, inversion bracketed - mm.34-38.
Theme Ab begins its reprise in measure 38, very much like
its model in measures 16-20. The shift in meter is present, and the
melodic contour of only the third phrase is slightly altered. The
major difference is in key area. Formerly anchored by a dominant
pedal while moving through a colorful variety of harmonies, there is
now a tonic pedal and a chord progression which moves solidly and
unswervingly towards a cadence in A major. This cadence is enhancedin measures 42-48 by the abandoning of the pedal point in favor of a
rich and resonant descending bass scale line from A to A with an
effective pause on the supertonic B, and a brief detour to the dominant
E before an especially satisfying arrival at the tonic A. The wide
melodic leap in measures 22-23 from A to F# is found again in meas
ures 44-45, but as befits the context, it outlines the cadential II?
92rather than the previous, more active, diminished VII7/V. These
differences gi-ve the first appearance of theme Ab a feeling of active
restlessness, and the second appearance an opposite feeling of quiet,
cadential conclusion.
crcsc. un poco am mat o
piu lento
Ex. 5 - Return of theme Ab with descending bass line circled - mm. 38-48.
In measures 47-48, there is a beautifully eloquent re-utterance
of the opening melodic figure of theme Aa in the alto voice, this
time with the final note A a step down from the preceding B rather
than a seventh up. The effect of this octave displacement is one of
tremendous calm, for it replaces the yearning, unresolved quality of
the rising seventh with a quietly serene approach to the tonic—
scale steps 3-2-1.
93
Exo 6 - Final cadence of Section I - mm* 47-480
Theme Ba of Section II begins in measure 49 with two four-
bar phrases enclosed by repeat bars0 There are three voices: the
soprano contains two smooth and unbroken four-bar phrases, the bass
voice contains a broken-chord accompaniment figuration, and the
middle voice freely imitates the soprano. The melodic line is in
distinct contrast to that of Section I, yet there are certain
figures contained therein which are derivative of figures in the
earlier section.
in tempo,
Ex0 7 - Theme Ba, first phrase - mm0 49-520 Circled figures are derived from Section I.
In the figures circled in the above example, the upward leap
of a fourth is derivative of two spots in Section I where that
94
interval is prominent. The first is in measure 3, where the upward
fourth is the crest of the phrase; the second is in measures 28-29,
where the phrase approaches the return of the opening motive of theme Aa.
Ex. 8 - Occurrences of upward leap of a fourth in Section I - mm. 2-4 and nun. 28-29.
n jMoreover, the rhythmic figure * * d is also found here at the
beginnings of both phrases, at measures 49 and 53. The two eighths
are no longer an anacrusis, but the allusion cannot be ignored.
This section is interesting for its quasi-canonic nature.
The middle voice begins in measure 49 in canonic imitation of the
soprano, but after only four notes it ceases its strict imitation
and merely doubles the first two notes of each motive in the sequence
in the soprano. The second phrase is treated similarly, beginning
canonically and dissolving into the same pattern of two-note phrases
which occurred in the first phrase.
95
Ex. 9 - The two imitative voices in theme Ba - mm. 49-56.
Theme Bb , which begins in measure 57, forms an effective
contrast to the appearances of theme Ba which precede and follow it,
yet it is constructed in much the same fashion and from the same
material. Set in the parallel major, F#, it has the same four-bar
phrase construction found in theme Ba and its melody is formed both
rhvthmically and melodically from two motives (bracketed in Ex. 10
below) in that section. Motive 1 is a major version of the equiva
lent opening motive of theme Ba. Motive 2 is a nearly exact version
96
of the soprano eighth-note figure in measures 50-51. The setting is
chorale-style, providing a textural contrast. Yet the top voice of
the left hand is in exact canon with the top voice of the right hand,
The second phrase is treated similarly, but without motive 2, and
with some new harmonies.
tffiW f r 4r i f f Jn r f
a l r cjllmEx. 10 - Mm. 57-60 of theme Bb and mm. 50-52 of theme Ba
from which it derives.
Theme Ba', again in F# minor, begins in measure 64, and
largely duplicates theme Ba, with the order of the voices reversed;
that is, the melody is in the middle voice while the imitative
voice is in the soprano.
There is yet another subtler relationship to be found between
Sections II and I— one which would seem contrived if described
before our examination of the small bridge section between the end
of Section II and the beginning of the recapitulation of Section I
in measures 73-75. Viewed in light of the sequence of events in this
bridge, one must be struck by the depth of the relationship involved.
97Theme Ba* ends in measure 73 on a tonic triad with two appoggiaturas
which give the effect of "sigh" motives. An arpeggio moves upward
in measure 74 to the bridge chord in the forthcoming modulation to A
major— VI in Fif minor, IV in A major. This chord also has an
appoggiatura sigh-motive figure. Another arpeggio moves upward in
measure 75 to the next chord in the progression leading to A major,
a I§, again with the appoggiatura sigh-motive„ The last arpeggio,
leading upward to a VII^/V over a dominant pedal point in measure 76,
highlights the importance of the appoggiatura by lengthening its
value to a dotted-quarter note with a fermata. The notes of the
appoggiatura figure at this point are C#, B. On beat 3 of measure
76, Of and B are heard again, this time as the first two notes of the
primary melodic figure of theme Aa. It is only now that we realize
how beautifully Brahms has prepared us for this recapitulation. The
descending melodic second— the crucial feature of this transition—
is actually a prominent and pervasive element throughout all of Sec
tions I and II, as can be seen in the illustrations in Ex. 11.
a) mm. 1-4 b) mm. 16-17
c) mm. 24-29 d) mm. 30-32
98
e) mm. 49-52
« # r t i3^5 * ■ 1 'i - h = & = i^ id.f) mm. 57-58
*jx-fi <* * —
f
w Vi fl* T 4 ^ wg) mm. 73-77
Ex. 11 - The descending melodic second as it appears in various places in the piece.
The return of the entire Section I is virtually unchanged
except for some minor harmonic variations, and the piece ends with
out even an additional codetta.
In looking back over the entire composition, one can perceive
two levels of unification: the melodic and rhythmic derivation of
99
several motives in Section II from elements in Section I, and the
still more pervasive presence of the two components of the appoggia
tura figure— the leap up and the step down— which are at the core
of every melodic element in the piece. It is interesting to note an
uncommon approach by Brahms to his technique of using a single germ
cell as a source for all of his melodic material,, In this work the
two components of the germ-cell appoggiatura-figure are treated
separately, each allowed to exist apart from one another and to gener
ate different thematic elements0 Yet these two components are
presented in the first two measures0 This work has always been a
particular favorite of pianists because of its beautifully lyrical
and expressive lines. The many-faceted treatment of a very small
kernel of music (the appoggiatura) makes this work stand out equally
well as a model of compositional economy of means.
CHAPTER VIII
INTERMEZZO IN B MINOR, OPUS 119 NO„ 1
Formal Structure
Section I Section II Section II Transition Section I
1-16mm. 16-30 mm. 31-42 ram. 43-46 mm. 47-67
This Intermezzo is a gentle piece in B minor and 3/8 meter
with a tempo marking of adagio 0 The kinds of subtle derivations
which characterize it are similar to the techniques employed in
the Intermezzo in Eb Major, Op„ 117 No. 1= They are not in
stantly obvious, yet they result in an inescapable effect of one
ness created from the presence of many facets of the same material.
satcry, with an accompaniment pattern which descends by thirds
through chords of the ninth and eleventh«,
The opening theme of Section I sounds somewhat improvi-
(continued on next page)
100
101
A.
Ex. 1 - First phrase of Section I - mm0 1-8.
The most important features of this theme are two rhythmic|-- pm r-|— j |tigures, r e + and * j 0 +■ a & , and the presence of many melodic
dissonances and contours which imitate dissonances. In example 1
above, note the many appoggiaturas and appoggiatura-like figures.
These appoggiaturas frequently involve leaps wider than a third--
the leap up of a fourth is especially prevalent. That interval is
highlighted in measures 4-7 by a canonic imitation in the bass
voice of a melodic phrase containing three appoggiatura-like fourths
and one deliberately extended seventh. The first two measures
contain canonic imitation at the seventh below, the last two imitation
at the fifth below. The phrase ends in measures 7-8 with a distil
lation of this motive--two melodic fourths.
Measures 9-16 are parallel to measures 1-8 in many ways, but
they are not identical. Measures 9-11 are different only in small details from measures 1-3. Measures 12-16 retain the idea of
102
canonic imitation between the upper and lower voices, the prominent
aPpoggiatura dissonance, and some rhythmic features from measures
4-8, but here the interval of a third replaces the former interval
of a fourth,,
In these eight measures the appoggiatura figure is made more
prominent because of the more persistent use of the rhythmic element!— I* * r for each dissonance, and because of a more strictly sequen
tial treatment of that figure than found previously. But for a
single note value and a single interval, this figure would be
repeated sequentially five times, a feature which is further empha
sized by the canonic bass voice.
Ex. 2 - Phrase two, sequences bracketed and canonic imitation indicated with lines - mm. 9-16.
103Section I ends in measure 16 on a half cadence in B minor.
However, by changing its function, the final soprano F#, root of the
dominant in B minor, becomes the third of a D major tonic triad
instead of the fifth of a B minor tonic triad. Section II, then,
begins in D major.
The mood and style of Section II are different from those
of Section I--ingratiating rather than melancholy, and with a
more pronounced rhythmic sense. Nevertheless, there is a subtle yet
compelling melodic relationship between them. This melody consists
primarily of a series of two-note phrases which ascend a third or a=1 i =fourth in the weak-to-strong rhythm ✓ A or * S * (See Ex. 3.) These
phrases are a metamorphosis of the appoggiatura figures in Section I; in
fact, both sections start with the same two notes, F# and A. Again,
as in Section I there is a feeling of an ever-present pattern of dis
sonance, although this time it is a new pattern. One hears the upper
notes of all the ascending intervals as belonging to a separate
voice, and the prevailing dissonance in this voice is the accented
passing tone.
Ex. 3 - The inner voice implied in the soprano, and the dissonances contained therein - mm. 17-20.
104
There is one very prominent appoggiatura in measure 20 which
expressly recalls the many appoggiaturas in Section I. It appears
to be even more prominent because it is the only figure to break the
sequence which exists between the first motive, A, A#, B (measures
17-18), and the second, G, G#, B, A (measures 19-20). A charming
touch is found in the bass voice in measures 18-19--G, G#, A, a
canonic imitation at the ninth of the soprano figure A, A#, B. It
recalls the earlier use of such imitation in Section Io
The next phrase, measures 20-30, maintains the two-note|"=j j CZ) N
phrase idea but alters the rhythm slightly from to
This eliminates one of the two-note phrases, yet
momentum is increased rather than decreased because this two-beat
pattern, coupled with the grouping in twos of the bass-line eighths,
results in a temporary move into a duple meter and a feeling of
stretto.
As might be predicted, this stretto, along with increased
rhythmic activity and range in the bass, serves to provide thrust to
wards a major climax which occurs in measure 24. In this measure,
the rising sequence of two-note phrases in ascending thirds and
fourths breaks its pattern with an interval which leaps up a sixth,
the most expressive and powerful appoggiatura in the piece.
After this climax, the phrase moves quickly to its con
clusion. The melodic contour descends from its crest in measure 24
in a smooth chromatic line with an equally smooth rhythm of even
105eighths, and leads us back to the quasi-restatement of Section II in
measure 31. The chromatic soprano line D, C#, B, B-flat, A, G#, G is
imitated in the alto voice at measure 27, along with a fragment of it
in inversion in the bass voice, under the last two notes of the
soprano, G, E. When the alto line ends on those same two notes, two
chromatic fragments appear below in contrary motion. (See Ex. 4.) By
the simple expedients of changing dotted rhythms into steady rhythm,
reversing upward melodic direction to downward, and substituting half
step motion for predominant skips, Brahms has accomplished a most
effective change of mood in preparation for a return to the gentle
mood of Section II at measure 31.
■■rcresc .
»---9— r
d im .
Ex. 4 - Push to climax and conclusion of Section II - chromatic lines in brackets - mm. 20-30.
One must call the following Section II* rather than II, for
Brahms has taken all the materials from Section II and created
106essentially new music from them. In measure 31-32 the difference
is slight; where formerly the alto voice moved in the same rhythm
as the soprano melody and in contrary motion to it, the alto now
contains a chromatic line in eighth notes, derivative of the chro
matic lines found in measures 29-300 The next two-measure fragment,
however, maintains only the rhythmic character of its earlier
counterpart, measures 19-20, The melodic direction is downward in
stead of upward (G, F#, E, D, measures 33-34), and an accented
passing tone is substituted for the original appoggiatura. By
eliminating the appoggiatura, the nature of whose upward leap is one
of heightened intensity, (reflected even in the name "appoggiatura,"
derived from the Italian word appoggiare meaning "to lean"), an
aura of calm is achieved, A forward glance reveals that Brahms
wishes to reserve the appoggiatura for a most effective sequence
beginning at the lowest point of the melodic contour and emerging
from an inner voice in measure 34. This sequence stretches the
appoggiatura leap first to a sixth (G, E, measure 35), then to a
seventh (B, A, measure 36), and in addition displaces the two upper
notes up an octave, giving them tremendous impact and thrust.
107
Ex,, 5 - Section II' and its appoggiatura sequence - mm. 31-37 0
Measure 37 finds us on G, the resolution of the final
appoggiatura; this G is the beginning of a repeat of the line be
ginning G, , E, D which was heard in measures 33-34, one octave
higher than before. But the differences are enormous. Here it con
tinues the move towards an even more powerful climax than the one in
measure 24. Assisting in this process are the increased pace of the
triplet sixteenths in the bass and the climbing chromatic tenor
line. The climax is reached with the appoggiatura G to E in measure
39--the same appoggiatura appearing at the climax in measure 24--
again displaced by an octave leap. At the corresponding point in
the previous phrase (measures 35-36), Brahms added another, still
higher, appoggiatura to the sequence. At this point— the climax—
Brahms adds several more appoggiaturas but this time in a descending
sequence in which the implied inner line forms a descending scale
line from E to F#. The mood again becomes gradually quieter as the
music makes its way toward a return to the pensive and melancholy
main theme of Section I.
108
App-
\
i
Ex. 6 - Section II' from climax to transition, with dissonances circled and inner scale line labeled - mm, 37-43.
It is here that one realizes how pervasive the appoggiatura
dissonance has been--indeed, how strong a thread of unity it has
provided,, An awareness of the tangible affinity between Sections II
and II’ and Section I becomes increasingly obvious when one recog
nizes that some of the appoggiaturas in Section II1 are as suggestive
of those in Section I as they are of their supposedly closer rela
tives in Section II. The relationship here is subtle, but its aural
appeal is strong--stronger than its visual image alone would indi
cate .At measure 43 a transition section of four measures begins,
which anticipates Section I with a sequential treatment of the
arpeggiated accompaniment figure which appears with the main theme,,
Measures 43-44 contain only the accompaniment figure; measures 45-46
109* Jinclude a melodic chromatic line which uses the rhythm * * * o£ the
approaching theme, and leads to the F# in measure 47 which begins
the recapitulation of Section I,
Ex, 7 - Transition from Section II' to Section I - mm. 43-47.
The first phrase of the recapitulation, measures 47-54, is
almost identical to the first phrase of the piece, containing only
some small alterations which add chromatic richness to a few sonor
ities. The second phrase, beginning at measure 55, adds considerably
more chromatic alteration and increases the rhythmic activity of the
accompaniment with triplet sixteenths (reminiscent of Section II’).
If any doubt remains as to the true significance of the appoggiatura
as the single most important unifying element in this piece, the
next seven measures should dispel it. These measures are a length
ened version of their earlier counterparts, measures 12-16, but
they are a pointedly obvious distillation to a single element, the
appoggiatura, in a sequence which leads in an unbroken descending
line from the note B in measure 58 down an octave to B in measure 66.
These measures are thicker than their counterparts, darker and more
somber, as is so often the case with Brahms' final cadences.
110
IHlrrnptt
pm p
L-r
Ex. 8 - Section I, recapitulation, with dissonances circled and scale line labeled — mm. 47—67.
Once again we have an example of a piece in which the
thematic material for Section II seems to be contrasted in every
way to that of Section I; but closer examination proves both
sections to be derived in a very tightly knit way from a single common germ-cell— again a melodic dissonance, the appoggiatura
figure.
CHAPTER IX
INTERMEZZO IN C MAJOR, OPUS 119 NO. 3
Formal Structure
Section I - ram. 1-24 Section II - mnw 25-40 Section I 1 - mm, 41-70
This Intermezzo, marked grazioso & giocoso, is in a graceful
6/8 meter. It succeeds in sounding unified and cohesive while
avoiding any normally recognized formal scheme. Briefly, Section I
is a repeated twelve-measure unit (measures 1-24), with only the
cadences differing; Section II is a development section built of two
motives from Section I; and Section I* is a reworking of still an
other motive from the original Section I which climaxes in a stretto
and dissolves in a delicate series of ascending staccato triads.
Brahms has abandoned conventional structural symmetry to invest the
work with the quixotic, unfettered freedom of a blithe spirit; yet he
has constructed virtually every measure from the materials in the
first seven measures.
The primary thematic material, which can be found in the
first three measures, appears in the lowest voice of the right
hand and revolves around only three notes, E, G, and A. Although
the bass voice keeps the 6/8 meter clear, the motive E, G, A appears
111
112in a continually changing rhythmic position which makes it sound
just slightly off-center. Its initial rhythmic pattern, m i * . is important throughout the piece.
nuilto p e leggiem
Ex. 1 - Motive 1, mm. 1-3.
The second important thematic element is one measure long,
and appears in sequence in the next measure (measures 4-5). It
consists of the same rhythmic pattern, J as in measure 3 of
motive 1, but with a more lilting melodic contour and a metrical,
almost dance-like rhythmical symmetry,,
Ex. 2 - Motive 2 - mm. 3-5.
The third thematic element uses still another melodic con
tour on the same basic rhythmic idea, with extra emphasis on thes n i h i n rn J ISfigure 0 * . The pattern is now , and it, too,
is repeated once sequentially in measures 6-9=, Measure 9 is repeated
113
twice, and the section dissolves in a repetition with off-beat accentsj > M f> |its last rhythmic figure, > y 11 > * * , in measures 10-12a Har-or
monically we are led through a II, V, I progression in G major, the
key of the dominant, then up a step through another II, V, I progres
sion in A minor, the relative minor. This excursion to two nearly
related keys sounds astringently remote, because the tonal center of
A fluctuates ambiguously between major and minor and because predom
inant emphasis is placed on the refreshing juxtaposition of the oft-
repeated note E, first as the root of in A, then as the 5th of
the tonic triad in A, and finally as the 3rd of the tonic triad in C,
here found in the same setting as in the opening measure of the
piece0 In this cadence, the use of staccato should be noted, since
this textural subtlety is picked up at a later point. ^ ^ SO.t t. -
?v\o-bv«r A. VrverlHOE. 3 .
Gr:JL3 J L 3b X X cult I A:
Ex. 3 - Motive 3 and cadential dissolution - mm. 6-12.
In measure 12, this ambiguity is compounded when the major third-scale-step C# occurs with the minor sixth-scale-step Ffcb and the minor third-scale-step C hj occurs with the major sixth-scale step¥ : r .
114These twelve measures are repeated exactly, with a small
cadential adjustment in which Brahms resolves the note E, root of
in A, to the note A--this A, however, not being the predicted tonic root, but the 3rd of the new tonic, F# minor0
k! s
Ex, 4 - Change of function of the note A in cadence - mme 23-25.
This literal repetition is unusual; such a procedure occurs
in none of the other character pieces„ Brahms apparently wishes to
provide an unusual degree of stability to the beginning section of
a piece in which fancifulness might otherwise have bordered on the
chaotic.
Section II, as just stated, begins at measure 25 in the very
remote key of F# minor, and has all of the characteristics of a
sonata development section--motivic fragmentation, remote and con
tinually shifting key centers, a restless and unstable effect, and
a most effective transition back to the return of theme A in the
tonic key. It begins with a two-and-a-half measure statement of the
beginning of theme A. The open octave presentation in measure
25 prolongs the deliberate ambiguity of the deceptive cadence-— there
115is actually no tone in the measure which could not serve either in
the expected key of A or in the actual key of F# minor. Only in
measure 26 does the addition of an accompaniment pattern place us
clearly in Fi- minor. The remaining one-and-a-half measures in the
four-measure phrase consist of the dance-like material from measures
23-24, with the same modulation pattern from C# minor to A# minor,
enharmonically respelled as B-flat minorQ
----= r ^ ---- , it f t i 1 V;-S*S-----U * -- - J A ^h ' l
^ ---- v
i
r m 1 " m M M ■ S:-----7T
t*. ■ ■J : ~ S f
rr. a J ^
f . ^ -— "?■_
*T9~
V
— **♦ ♦ — L1«0 *“ 11 1 S = 5 W ....
Ex0 5 - Beginning of Section II - mm. 25-29.
Measures 29-30 are an exact sequential repetition of measures
25-26, this time in B-flat minor, a third above the previous phrase
beginning in F# minor. But instead of continuing the sequence to
include the material from measures 27-28, Brahms uses the figure from
measure 30 in a sequential repetition which highlights and quickens
the pattern of modulation upward by thirds which he had already begun
when he moved from F;r minor to B-flat minor. Hence measures 31-32
are like measure 30, but in D-flat major and F minor respectively.
116
Ex. 6 - Modulation up in thirds - mm. 29-32.
In measures 33-34, the falling interval from Section I,
, (beat 2 of measure 1 and beat 1 of measure 3), is com
bined with the waltz-like bass from measures 23-24 and 27-28,
beginning in A-flat major, yet another modulation up a third.
Brahms arrives at his destination in measure 35— the key of
C, up another third, and the climax of the section. In only two
measures (35-36) he moves downwards by thirds through all the keys
that were in the upward modulation scheme which involved all of
Section II (see Ex. 6), using the same rhythm, + , as in the
previous two measures, but now in open octaves to facilitate the
propulsive motion down to C.
✓ 5 ^
Ex. 7 - The climax of Section II - mm. 33-37.
117
Measure 37 is the beginning of a four-measure transition back
to a quasi-recapitulation of Section I. The note C, to which the
previous measures move, is part of a small three-note melodic frag
ment, c, C, D-flat, doubled in open octaves. There is no clue to the
intended key; even the arpeggiated inner voice added under the tied
D-flat only tentatively suggests the possibility of V to IV in F
minorQ In measure 39 we have another three-note fragment of melody,
C, E-flat, F, in the same rhythmic frame as the previous fragment.
But this time we can see the suggestion of the theme from Section I
in the melodic intervals and in the arpeggiated accompaniment figure
which combines the original pattern from Section I with the pattern
from measure 37. In retrospect, we can see that measures 37 and 38
are an embryonic suggestion of the return of Section I; £, C, D-flat
is simply an altered version of A-flat, C, D-flat, which would have
been the first three notes of the theme from Section I in F minor.
This new statement is no longer tonally ambiguous; it is in A-flat
major, once again up a third from the previous, more ambiguous key of
F minor. The note C is still prominent, and undergoes another change
of function; in measure 37 the C is the fifth of an implied F minor
triad, while in measure 39 it becomes the third of an A-flat major
triad. The next phrase seems inevitable--we expect it to modulate
up another third to C, with the note C retaining its prominence as
the root of the tonic triad. These expectations are met, and measure
41 is the beginning of the final section of the piece, which might
118best be called I',
Ex. 8 - Transition to Section I 1 - mm. 37-40.
The first two-and-a-half measures are similar to the first
two-and-a-half measures of the original theme of Section I, except
that the melody is in quarter-note augmentation and has only half as
many turns around E, G, A„ The next measure-and-a-half bears some
relationship to the corresponding part in measures 3-4 in that they
both involve an E minor triad, and have accompaniment chords in the
upper voices on the fourth and sixth eighths of the measurea But
the pattern of chords extends a beat longer, the texture is staccato,
(harking back to the final cadence of Section I), and it dissolves
into an arpeggio of sixteenth triplets, a new idea which appears
again later in this section. These four measures are repeated in
measures 45-49 with some small but significant changes. The theme
from Section I is now heard in its exact original state, but the har
monic progression outlined by the arpeggiated bass and the upper-
voice chords reveals some new subtleties: where Brahms formerly used
a C major tonic triad for two measures, followed by an E minor III
119and a G major , he now uses the progression I, I?, V^/II to II
one sonority per measure. This progression is significant in that
it leads back to , the center of gravity for the rest of the
piece.
d o ic e
Ex. 9 - Beginning of Section I' - mm. 41-48.
Host of the remainder of the piece is built on a melodic
fragment found initially in measures 7-8, in which the note G (the dominant) is prominent throughout
Measures 49-50 and 51-52 are almost identical two-measure derivations
from the earlier motive. Of particular importance here is the struc
tural bass line,■ #J. 11 ir#J. 1 J.
The little chrom
atic thrust to G reinforces the prominence of G, and additionally
serves to introduce the longer chromatic bass line which continues
in measures 53-55 „ Although measures 49-50 and 51-52 are almost
120identical melodically, the first two form a self-contained motive,
while the second two continue in a two-measure sequential extension! b I f'using the rhythm # * * * of measure 52, a powerful stretto effect
which is further heightened by the ascending chromatic bass line,
F, FIF, G, G#, A, A# to B in measures 52-55* Nevertheless, Brahms
finds that this stretto still carries insufficient thrust towards
his goal, so in measure 55 he pushes upward in skips which outline
the dominant-seventh on G, and tightens further the rhythmic stretto
by reducing J S* to n . This creates a drive to the dominant-
seventh chord in measure 56, which is powerful indeed--the climactic point of the entire piece.
Ex. 10 - Sequential build-up to climax in Section I ’, with structural bass line circled - mm. 49-56.
121The music in both measures 56 and 57 is a somewhat expanded
version, two octaves higher, of measure 49; it triumphantly affirms
its resolution to I in a way which makes the listener think of
Beethoven<, But there is a difference. Beethoven would celebrate
the arrival of the long-withheld tonic chord, but Brahms' peak of
intensity is on the dominant, and he lets all the tension disperse
in a masterful stroke--a downward sequence of the first three
notes from measure 56, which dissolves in a harp-like arpeggio and
two staccato chords on v7„ The tonic triad arrives in measure 66,
a five-measure extension of the ascending staccato triads found in measures 43-44 and 47-48.
M.
legato
tat poco rit.
— M.
(continued on next page)
122
Ex. 11 - From the climax of Section I' to the final cadence - mm. 56-7CL
Unity is achieved in this piece by means of the constant use
throughout of the melodic and rhythmic material contained within the
first twelve measures. It is in every sense of the word a mono-
thematic piece0 Yet monotony is avoided by means of developmental
fragmentation, a swiftly-moving series of unexpected keys, and the
skillful handling of textures to create a variety of moods and
styles0 In many other pieces, a small germ-cell motive is used as a
basis for different themes; frequently the relationship between sec
tions is carefully disguised in themes whose external features are
very different. In this piece, no new theme is created from old mate
rial --instead , clearly similar material is treated in ways which
provide alwavs new interestt but never a new disguise.
CHAPTER X
CONCLUSIONS AND RECOMMENDATIONS
Conclusions
Several observations, both general and specific, can be made
as a result of the foregoing analyses and the chart of categories in
the introductory chapter into which all of the character pieces fall.
Two striking conclusions can be drawn from a study of the
chart: 1) more than half (17) of the pieces in question fall into
Category I (works evolving entirely from a single motive in Section
I), and all but five fall into Categories I, II, or III, categories
which involve a high degree of unity; and 2) the less unified works
are among the earlier ones, while the degree of unity increases
consistently throughout the chronology--note that all of opp. 118 and
119 are in Category I, In other words, the later the pieces, the
more unified they are likely to be.
Not a single mention of this phenomenon of development can be
found in any of the literature concerned with Brahms' piano music. On
the contrary, the general opinion seems to be that the piano music
falls neatly into three groups: the first group being all the early
works up through the Ballades, Op. 10, orchestral in style and somewhat
123
124diffuse in structure; the second group being the big virtuoso vari
ations, deliberately Baroque in structure; and--after a period of no
writing for solo piano— the third group, with which we are concerned
here, being the emergence of the perfected flowering of the art of
the character piece, a homogeneous group of fully mature worksQ Xt
is this writer’s view that the body of late works reveals within it-
self a significant degree of musical growth and maturation, even
though the brooding introspection which pervades most of it tends to
suggest at least a spiritual homogeneity,,
A careful overview of the eight works examined in this paper
likewise reveals interesting and more specific information about how
organic unity has been achieved,, The eight works fall into two
general groups; those with ostensibly new themes for their second
sections, and those which are clearly monothematic„ In the former
group fall Op. 116 No. 3, Op. 116 No„ 7, Op. 117 Noa 1, Op. 118 No.
2, and Op. 119 No. 1; in the latter group fall the remaining three,
Op. 117 No. 2, Op. 118 No. 1, and Op. 119 No. 3.
In every one of the works with "new" second themes, a single motive--often a melodic dissonance--is the source from which
all of the thematic material is derived; yet the external charac
teristics are different in every case. The artistic goal in these
works is to give the effect of variety while disguising the threads
of unity--to invest apparent variety with carefully planned unity.
125In the three works which are monothematic, the melodic
material remains constant and intact throughout while its treatment
undergoes constant change„ Here the artistic goal is to give the
effect of variety while bound by the limits of never-changing
melodic content--to invest apparent unity with carefully planned
variety.
The quality of monothematicism characteristic of this latter
process is encountered more frequently among the earlier character
pieces than the later ones. Examples of such monothematic works
other than those examined in this paper are Op. 76 No. 2, Op. 76 No.
8, and, to a large extent, Op. 76 No. 1 and Op. 79 No. 2, which are
not exclusively monothematic but whose unifying musical ideas are
always present in undisguised state.
The quality of unity hidden in the guise of separate themes
which characterizes the former process, however, seems to have
developed slowly, being a hallmark primarily of the later works. Few,
if any, of the earlier character pieces are constructed in this manner,
whereas a majority, not only of the eight works examined herein, but
also of the other works in Opp. 116, 117, 118, and 119, appear to be
unified by an underlying melodic germ-cell. This type of construction
has allowed for deeper levels of unity while at the same time giving
more latitude for variety. It is apparent that Brahms moved more and
more in this direction as his style matured.
126
Recommendations
The major premise of this paper is that a maturation process
with regard to motivic unity took place within the corpus of the
late piano music of Brahms— not merely over the many years which
separated his early and late piano music. The later music-tends to
be more unified by motivic germ-cells than the earlier music within
this group of works. It seems reasonable to assume that the same
sort of maturation process may have affected other parameters of the
music. Potentially fertile fields of investigation may well exist in
a study of such aspects as harmonic procedures, the use of disso
nances, and acoustical bases for his special pianistic effects.
Another interesting and productive study would be an exami
nation of types of treatment accorded his melodic material— contra
puntal, developmental, or variation-style. It is plausible that one
or another of these types of treatment would emerge as the most common
type, and that each would have a maturation process of its own.
Still another fruitful endeavor would be to compare Brahms’
use of the germ-cell technique with that of other composers who used
it to good effect, and whose influence on Brahms is known to have
been decisive— for example, Haydn and Beethoven.
Lastly, a study should be made of cyclical elements found with
in certain opera. Brief examination reveals many instances of common
motives within Op. 116; a thorough study would doubtless reveal still
others in that opus and elsewhere.
127As was pointed out in the Introduction, no really exhaustive
study of Brahms’ piano music has yet been done. The importance of a
thorough examination of this literature can hardly be overestimated,
both for historical reasons and for the enlightenment of the performer.
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VITA
The author was born on October 11, 1933 in New Orleans,
Louisiana. She attended the Academy of the Sacred Heart in New
Orleans, where she graduated as salutatorian in 1951. She
attended Newcomb College for one year (1951-52) and subsequently
transferred to Florida State University, where she graduated summa
cum laude in 1955 with a Bachelor of Music degree in piano. She
earned a Master of Arts degree in music history from Mills College,
Oakland, California in 1956. She taught piano at the Academy of
the Sacred Heart in New Orleans from 1956 to 1960, at which time
she joined the faculty of the College of Music at Loyola University
in New Orleans where she has taught piano, theory, and music
history. Concurrently, from 1964 to 1974 she taught piano in the
Smisor-Bastien studio, and subsequently established the Loyola
Preparatory Department of Music. She is currently an associate pro
fessor of music at Loyola, chairman of the piano department there,
and director of the Loyola Preparatory Department of Music.
133
EXAM INATION AND THESIS REPORT
C andidate:
M ajo r Field:
T itle of Thesis:
Janet Sitges Martin
M usic
M otivic Unity in Selected Character P ieces By Johannes Brahm s
Approved
Major Professor and Chairman
Dean of the Graduate School
E X A M IN IN G C O M M IT T E E :
o f L ^ - L ,
Date of Examination:
April IS, 1978_____ .